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Offences against the human body

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This article is written by Sujitha S, from the School of Excellence in law, Chennai. This article deals with offences against the human body as laid down in the Indian Penal Code. It further elaborates the legal provisions with relevant case laws. 

This article has been published by Sneha Mahawar.

Table of Contents

Introduction 

‘Offences against the human body’ encompasses a wide range of criminal offences that typically entail bodily violence, the fear of bodily harm, or other actions taken against an individual’s will. Section 299 to 377 lays down several offences relating to the human body. The most important ones are discussed in this article.  

According to Section 11 of the Indian Penal Code (1860), the word ‘person’ includes any company or associa­tion or body of persons, whether incorporated or not. Further the term ‘men’ and ‘women’ is defined in Section 10 of the IPC. The word ‘man’ denotes a male human being of any age and the word ‘woman’ denotes a female human being of any age. These crimes are usually perpetrated by inflicting physical harm or using force on another person. The nature of such offences is usually divided into four categories, they are: 

  1. fatal, 
  2. non-fatal, 
  3. sexual, and 
  4. non-sexual. 

Culpable homicide and murder, assault and criminal force, deprivation of liberty, sexual offences (rape), domestic violence, are some of the instances of crimes against the human body. 

Offences against the human body

Culpable homicide (Section 299)

  • The word ‘homicide’ is a combination of two Latin words: homo and cido. Homo signifies human, and cido denotes human killing. Homicide is defined as the killing of a person by another person. Homicide might be lawful or unlawful. Lawful homicide refers to instances in which a person who has caused the death of another person cannot be held responsible for that person’s death. For example, when exercising one’s right to private defence (Section 96) or in other cases described in Chapter IV of the General Exceptions of the Indian Penal Code, viz Section 76 to 106.
  • In English law, culpable homicide is referred to as manslaughter. Second-degree murder is the legal term in the United States, whereas murder is referred to as first-degree murder.
  • There are two types of culpable homicide:
  1. Culpable homicide that does not rise to the level of murder (Section 299). 
  2. Culpable homicide amounting to murder (Section 300).
  • Culpable homicide, as defined in Sections 299 and 300, refers to the extra elements that render culpable homicide a murder. The definition emphasises both the physical and mental elements of an act committed with the aim of causing death, or with the knowledge that the act he or she is about to do will kill someone, or will cause such bodily or physical injury that will result in a person’s death.
  • Culpable homicide and murder are both cognizable offences that are not bailable or compoundable. Both can only be tried in a court of session.

Definition

As per Section 299 of the Indian Penal Code,  “Whoever causes death by doing an act with the intention of causing death, or with the intention of causing such bodily injury as is likely to cause death, or with the knowledge that he is likely by such act to cause death, commits the offence of culpable homicide”.

The following basic characteristics of culpable homicide are discerned from the examination of Section 299:

  1. The accused must have done an act.
  2. The act must have been done with one or more of the following intentions or knowledge:
  • The intent to kill someone.
  • The intention to cause bodily injury that is likely to result in death.
  • The knowledge that death is likely to result.
  1. The victim must have died as a result of the actions of the accused.

Illustration: A is aware that Z is hiding behind a bush. B is completely unaware of this. A causes B to fire at the bush with the intent of causing, or knowing that it is likely to cause, death. Z is killed by B’s fire. In this case, B may have committed no crime, but A has committed culpable homicide.

Leading case laws related to culpable homicide

In the case of Re: Palani Goundan vs. Unknown (1919), the accused struck his wife in the head with a plough, which, while not demonstrated to be a blow likely to cause death, rendered her unconscious, and believing her to be dead, the accused strangled her on a beam with a rope, thus, causing her death by strangling. The defendant was found not guilty of culpable homicide, instead, he was found guilty of grievous hurt by the Court.

In the case of Joginder Singh vs. State of Punjab (1979), a person who was being pursued was found not guilty of culpable homicide. When a man was being pursued in an open field by his enemies, who had already killed one of his relatives in the incident, he jumped into a well to save himself and died in the process, it was determined that the accused’s actions did not constitute an act done with the intent or knowledge specified in Section 299 of the Indian Penal Code, and they were acquitted.

Murder (Section 300)

Culpable homicide amounting to murder 

Culpable homicide amounting to murder is dealt with under Section 300. In other words, the Section stipulates that in some circumstances, culpable homicide constitutes murder. As a result, in order to be categorised as murder, an act must first meet all of the criteria for culpable homicide.

Section 300 stipulates that, unless in the following circumstances, culpable homicide constitutes murder:

  • When an act is committed with the intent to kill someone. For murder, a high level of intention is required. There must be intent present, and that desire must be to cause the person’s death, not just injury or serious harm without the intent to kill.
  • Causing physical harm that the criminal knows would result in death. The second scenario involves an offender who has particular knowledge of the victim’s health and utilises that knowledge to damage the victim in such a way that the person dies. For this, one can refer to Section 300 which states that the perpetrator ‘knows to be likely to cause the death,’.
  • Bodily harm that results in death in the natural course of things. These instances include acts involving bodily injury that, in the normal course of events, would result in the person’s death. 
  • Committing an impending risky act for no valid reason would result in death or physical damage that would result in death. This category includes acts that are so dangerous that if they are committed, they will result in death or bodily injury that will result in the death of a person, and they are done without any legal justification.

When culpable homicide doesn’t amount  to murder

1. In the following situations, culpable homicide would not be considered murder:

  • Culpable homicide would not be considered murder if it did not meet the additional standards of the corresponding clause of Section 300.
  • If a culpable homicide occurs within one of the five exceptions to Section 300, it is not considered murder.

2. The exceptions to Section 300 are listed below.

  • Grave and sudden provocation.
  • Exceeding in the exercise of the right of private defence.
  • Public servant exceeding powers given to him by law.
  • Causing death in a sudden fight, without premeditation.
  • Consent of the deceased above the age of 18.

Exception I 

Grave and sudden provocation

Culpable homicide will not amount to murder if the offender loses his or her ability to control himself or herself as a result of the grave and sudden provocation and kills the person who provoked him or her or any other person by mistake or accident. It just lowers the risk of being charged with a crime. There is no absolute immunity from criminal culpability.

In the KM Nanavati vs. State of Bombay (1961), also known as the Nanavati case, the Supreme Court held that-

  • In India, certain words and actions might provoke serious and unexpected provocation.
  • When the plea is for grave and abrupt provocation, the mental backdrop produced by the victim’s earlier acts may be considered.
  • The nature of the victim’s act must also be taken into account. The court must determine whether a reasonable man from the same social class as the accused, if placed in the same situation, would be subjected to natural provocation to the point of losing his self-control.
  • The fatal blow should be clearly traceable to the provocation-induced rage. After the passion has died down, a lethal blow cannot be used as the basis for a sudden and grave provocation. The advantage of exception 1 cannot be awarded when there was time and scope for premeditation and calculation.

Exception II

Exceeding the limits prescribed by law in the exercise of the right of private defence in good faith 

Culpable homicide will not amount to murder if the offender, in the exercise of a right of private defence of person or property in good faith, exceeds the power granted to him by law and kills the person against whom he exercises the right.

The benefit of the exception can be obtained if it is also demonstrated that the criminal caused the death in question without premeditation or with the aim to cause more harm than is required.

Exception III

Public servant exceeding powers given to him by law

  • Culpable homicide will not amount to murder if the perpetrator while acting as a public servant or assisting a public servant in the pursuit of public justice, exceeds the authority granted to him by law and causes death.
  • The benefit of the exception can only be claimed if the act was done in good faith and in the belief that it was legal and essential in the proper discharge of his duties. It must also be demonstrated that the criminal had no enmity against the deceased.

Exception IV

Death caused as a result of a sudden fight

  1. Culpable homicide will not amount to murder if it is performed in the heat of passion during a sudden quarrel and without the offender taking advantage of the situation or acting in a cruel or unusual manner.
  2. It makes no difference who provokes or conducts the assault in this case.

Exception V 

Consent of the deceased above the age of 18

Culpable homicide will not amount to murder if the person who is killed is over the age of 18 and suffers or risks death with his or her own consent.

Distinction between murder and culpable homicide

  1. The degree of criminality is the main distinction between murder and culpable homicide. In the instance of murder, the level of criminality is higher than in the case of culpable homicide.
  2. Every homicide is first and foremost a responsible homicide. However, not every culpable homicide is murder. To put it another way, responsible homicide is a genus, whereas murder is simply a species.
  3. The term ‘murder’ has been defined under Section 300. It is illegal under Section 302 of the Criminal Code. Culpable homicide is a less serious crime that is penalised under Section 304 of the Indian Penal Code.
  4. There is a narrow line between culpable homicide and murder, yet it is discernible. The important words contained in the separate clauses of Section 300 must be noted in order to identify the two offences.
  5. In the State of Andhra Pradesh vs. R. Punnayya (1975), it was held that-
  • There are three degrees or types of culpable homicide recognised by the Code.
  • In Section 300, culpable homicide in the first degree is defined as murder. It is the most serious type of culpable homicide.
  • Second-degree culpable homicide is known as culpable homicide. It is penalised under Section 304, Clause I.
  • The lowest level of culpable homicide is a culpable homicide in the third degree. It is penalised under Section 304, Clause II.
  • The courts must first determine whether the death in question was caused by the accused’s actions. If the accused’s actions are affirmative, Section 300 should be considered.

Culpable homicide by causing the death of a person other than the person whose death was intended 

Under Section 301 of the Indian Penal Code-

  • The accused must have planned or known that his or her actions were likely to result in death.
  • The act must have resulted in the death of a person, even if the offender had no intention or knowledge that the act would result in the death of a person who was actually murdered.
  • In the foregoing situation, the accused would face the same punishment as if he had killed the person whose death he intended, knew, or was likely to kill.
  • The Doctrine of transferred malice is the broad name for the notion enshrined in Section 301. According to this doctrine, when a person does injury to a different object than the one he intended due to an accident or error, thereby causing death, he is criminally liable for the offence.
  • A person whose case falls under Section 301 will be penalised under Sections 302 or 304, depending on the situation.

Dowry death

This is a crime that is committed against a lady. Dowry is a crime that has existed in Indian civilization for hundreds of years, and despite several efforts, this evil has not been totally abolished. The word ‘dowry’  under Section 304B of the Indian Penal Code has the same meaning as in Section 2 of the Dowry Prohibition Act,1961, which defines the word as any property or valuable security given or agreed to be given directly or indirectly 

  1. by one party to a marriage to the other party to a marriage; or 
  2. by the parents of either party to a marriage, or by any other person to either party to the marriage; or 
  3. by any other person to either party to the marriage, 

at or before, or any time after (on three occasions) the marriage in connection with the said parties’ marriage.

By Section 304B, to construct a case of dowry death, a woman must have died of burns or other physical injuries or otherwise under normal circumstances within seven years of her marriage. She should have been subjected to brutality or harassment by her husband or in-laws in connection with a dowry demand shortly before her death. 

In the case of Kamesh Panjiyar vs. State of Bihar (2005), the Supreme Court stated the key ingredients of dowry death (Section 304B, IPC) as follows:

  • A woman’s death should be caused by burns, physical injuries, or some other unusual event.
  • She should have died during the first seven years of her marriage.
  • Her husband or a relative of her husband must have treated her cruelly or harassed her.
  • Such cruelty or harassment should be in response to or in conjunction with a dowry demand.
  • It must be proven that the lady was subjected to such brutality or harassment shortly before her death.

Hurt (Section 319-338)

Hurt, which may be simple or grievous, is one of the many offences against the human body. 

  • Sections 319-338 deal with injury and its many forms.
  • The term ‘injury’ is defined in Section 319, whereas, Section 320 specifies the types of injuries that have been categorised as grievous

Simple hurt

Section 319 defines simple hurt according to which whoever causes bodily pain, disease or infirmity to any person is said to cause hurt. 

The term ‘bodily pain’ indicates that the pain must be physical rather than mental. As a result, inflicting mental or emotional harm on someone will not be considered ‘injury’ under Section 319. However, there is no requirement that the victim suffers any visible injuries in order to fall under this clause. Anyone who causes bodily discomfort, sickness, or disability to another person is considered to inflict injury, according to Section 319 of the Indian Penal Code.

Essential Ingredients

i. Bodily pain, disease, or infirmity must be inflicted

Bodily pain is a type of harm with the exception of minor harm for which no one would object. Pricking someone with a pointed item such as a needle, hitting someone in the face, or pulling a woman’s hair are some examples of bodily pain. It makes no difference how long the suffering lasts. When anybody’s organ is unable to operate regularly, it is referred to as infirmity. It might be either transitory or long-term. It also encompasses mental states like hysteria or panic.

ii. It must be the result of the accused’s own free will

The accused, in Marana Goundan vs. Unknown (1940), wanted money from the deceased, which he owed him. The deceased stated that he would pay later. The accused then kicked him in the abdomen, causing the victim to collapse and die. The accused was found guilty of causing bodily harm since there was no evidence that he intended or understood that kicking on the abdomen would risk life.

Grievous hurt (Section 320)

The following kinds of hurt only are designated as grievous: 

  1. Emasculation (making a person sexually incapable or weak).
  2. Loss of vision in one eye for the rest of one’s life.
  3. Permanent loss of hearing in one or both ears.
  4. Any member or joint being privatised.
  5. Destruction or permanent impairment of the powers of any member or joint.
  6. Permanent disfiguration of the head or face.
  7. Fracture or dislocation of bone or tooth
  8. Any injury that puts the sufferer’s life in jeopardy or renders him unable to pursue his normal activities for a period of twenty days due to significant bodily pain. 

Voluntarily causing hurt (Section 321)

  1. As per Section 321, anyone who does anything with the intent of inflicting harm to another person and succeeds in doing so voluntarily commits hurt.
  2. Such an act must have been committed:
  • with the intent of causing harm; or 
  • with the intent of causing harm to anyone.

The offence under Section 321 is punishable under Section 323 (either one year in prison or a fine of up to Rs. 1000/-, or both). It’s non-cognizable, bailable, compoundable, and a Magistrate can try it.

Hurt (Section 334) or Grievous hurt (Section 335) on provocation

Section 334 describes the circumstances in which harm is produced as a result of provocation. If the voluntary causation of harm is related to the grave and abrupt provocation, the penalty may extend to one month of jail or a fine of Rs. 500/-, or both.

  1. Anyone who does anything with the goal of causing grievous harm to another person and succeeds in doing so freely causes grievous harm.
  2. A person who knowingly causes terrible harm to another person and then causes grievous harm to that person is said to have freely caused grievous harm.
  1. The accused must have committed some sort of crime.
  2. Such an act must have been committed:
  • With the intent to cause grievous harm; or 
  • Knowing that harm was likely to result; and 
  • Must have caused serious harm to any person as a result.

Under Section 335 of the Indian Penal Code, if the voluntarily giving of serious harm is related to the grave and abrupt provocation, the penalty will be reduced to either four years of imprisonment or a fine of Rs. 2000/-, or both.

Wrongful confinement (Section 340)

According to Section 340 of the Indian Penal Code,  whoever wrongfully restrains any person in such a manner as to prevent that person from proceeding beyond certain circumscribing limits, is said ‘wrongfully to confine’ that person.

Illustration

  1. A moves Z into a walled location and locks him there. As a result, Z is unable to move beyond the wall’s circumscribing line in any direction. Z is wrongly imprisoned by A.

Essential ingredients

  • Unlawful restraint of a person, and
  • The restraint must be aimed at preventing that person from going beyond specific circumscribing bounds beyond which (s)he has the legal right to go. There must be complete restraint, not partial restraint. 

Section 342 discusses the  punishment for wrongful confinement. Under Section 342, whoever wrongfully confines any person, shall be punished with imprisonment of either description for a term which may extend to one year, or with fine which may extend to one thousand rupees, or with both.

The victim in the case of Deep Chand vs. State of Rajasthan (1961) was the son of a wealthy businessman. Two masked guys entered his apartment one day, one of them was armed with a revolver. If he made any noise, the two people threatened to shoot him. They led him outside, where two camels awaited his arrival. A cloth  was draped over the victim’s face. They rode him on a camel for a  distance before transporting him to the accused’s home, where he was held for 17 days. He was obliged to write three letters to the victim’s father demanding a ransom of Rs 50,000. They released the victim after the ransom was paid. Following that, the offenders were identified and charged under Sections 347, 365, 382 and 452 of the Indian Penal Code.

Wrongful restraint (Section 339-341)

As per Section 339, wrongful restraint is defined as, whoever voluntarily obstructs any person so as to prevent that person from proceeding in any direction in which that person has a right to proceed, is said wrongfully to restrain that person.

Illustration

A blocks a path that Z has the right to use, despite A’s good faith belief that he has the right to do so. As a result, Z is unable to pass. Z is illegally restrained by A.

Punishment for wrongful restraint

Section 341– Whoever wrongfully restrains another person shall be punished by simple imprisonment for a period not exceeding one month, or a fine not exceeding five hundred rupees, or both.

Essential ingredients

Wrongful restraint is defined under Section 339. The following are the basic elements of wrongful restraint: 

  • A person’s voluntary obstruction, and 
  • the obstruction must be such that it prevents the person from advancing in any direction in which he has a right to proceed.

A mother and a 13-year-old child were summoned to the police station for questioning in Raja Ram vs. State of Haryana (1972). The provision to Section 160 of the Criminal Procedure Code states that no woman or male under the age of 15 should be summoned to the police station for questioning. Instead, they must be questioned in their current location. The accused, a police officer, was found guilty of violating Section 160 of the Criminal Procedure Code. In light of this, the detention of a woman and a 13-year-old child in a police station was deemed unjust restraint. The accused was found guilty under Section 341, but not under Section 342 of the Indian Penal Code.

Criminal force (Section 350)

According to Section 350, anyone who intentionally uses force against another person without that person’s consent in order to commit an offence, or intends or knows it is likely that by using such force, he will cause injury, fear, or annoyance to the person to whom the force is applied, is said to use criminal force against that other.

Illustration

(a) Z is seated in a moored riverboat. A purposely loosens the moorings, causing the boat to wander down the stream. Here A causes the motion to Z on purpose, and he does so by disposing of chemicals in such a way that the motion is produced without the involvement of anyone else. A has so knowingly used force against Z; and if he has done so without Z’s agreement, in order to commit any offence, or intending or knowing that this use of force will likely cause hurt, fear, or irritation to Z, A has used criminal force against Z.

Essential ingredients

In English law, criminal force is analogous to ‘battery,’ which refers to the intentional infliction of force by one person on another without their assent.

  • The use of force as defined by Section 349
  • such force must be used purposefully;
  • the force must be used in order to commit an offence against a person; and
  • the force must have been used without the will of the person against whom it is used.
  • the force must be used with the intention to cause injury, fear or annoyance to the person against whom it is used.

Assault

By Section 351, whoever makes any gesture or preparation with the intent or knowledge that such gesture or preparation will lead any person present to suspect that he or she is about to use criminal force against that person is said to have committed an assault.

Illustration

  1. A shakes his fist at Z, intending or knowing that doing so will likely lead Z to assume A is preparing to strike Z. In this case, A has committed an assault.

Essential ingredients

The following are the essential elements of assault: 

  • the accused makes a gesture or preparation to use criminal force; 
  • such gesture or preparation is made in the presence of the person in respect of whom it is made; 
  • the accused has the intention or knowledge that such gesture or preparation will cause apprehension in the victim’s mind that criminal force will be used against him; and
  • such a gesture or preparation has a physical effect on the victim.

Difference between criminal force, assault and hurt

In the IPC, the terms ‘assault,’ ‘criminal force,’ and ‘injury’ have different meanings and definitions. An assault is nothing more than a threat of violence that demonstrates a willingness to use unlawful force and the potential to do so. When force is used, it transforms into criminal force. Now, criminal force is defined as the act of creating motion, change of motion, or stoppage of motion without the agreement of the person in order to commit an offence or with the intent to cause or knowledge that it will cause injury, fear, or irritation. For instance, a man who inappropriately wraps his arms around a lady’s waist, squirts water at a person, or orders a dog to attack a person uses illegal force without really inflicting bodily harm or injury is said to have committed the offence of criminal force. However, if the use of such unlawful force results in the infliction of bodily suffering or injury, it will be considered a ‘hurt’, which is an offence under Section 323 of the  Indian Penal Code.

Harassment 

The act of any criminal force perpetrated on a woman with the aim to insult her modesty is covered by Section 354 of the Indian Penal Code. The Criminal Law Amendment Act (2013) expanded the scope of Section 354 by including four additional provisions.  Section 354A, Section 354B, Section 354 C, and Section 354 D are the novel Sections. In the case of State of Punjab vs. Major Singh (1966), the Supreme Court observed that ‘Outraging the modesty of a woman is a crime- indecent behaviour, not the woman’s age, is the test to define the offence of outraging the modesty punishable under section 354, IPC.’ 

  • Section 354A:  Sexual harassment and punishment for sexual harassment
  • Section 354B:  Assault or use of criminal force to woman with intent to disrobe
  • Section 354C:  Voyeurism
  • Section 354D:  Stalking

Sexual harassment and punishment for sexual harassment : Section 354 A

A male who engages in any of the following behaviours: 

  • Unwelcome and explicit sexual overtures; or
  • A request or demand for sexual favours; or
  • exposing a woman to pornography against her will; or
  • Making sexually tinged comments.

shall be held responsible for sexual harassment. 

Any man who commits the crime described in clauses (i), (ii), or (iii) of paragraph (1) must be punished by rigorous imprisonment for a term of up to three years, or by a fine, or both.

Any person who commits the crime described in paragraph (iv) of subsection (1) must be punished by imprisonment of any type for a term up to one year, a fine, or both.

Vishaka vs. State of Rajasthan (1997)

Vishaka vs. State of Rajasthan (1997) is a Significant case dealing with the heinous crime of sexual harassment of a woman at the workplace.  The key question was whether the enactment of rules was required to safeguard women from sexual harassment at work. The court said that under Articles 14, 19(1)(g) and 21 of the Indian Constitution, every profession, trade, or vocation shall provide employees with a safe working environment. It impeded the right to life as well as the right to a dignified life. The Supreme Court ruled that women had a basic right to be free from workplace sexual harassment. It also outlined a number of critical principles for employees to follow in order to avoid workplace sexual harassment of women. Finally, in 2013, the Sexual Harassment of Women at Workplace Act, 2013 was implemented, bringing to light a number of much-needed protections.

Assault or use of criminal force to woman with intent to disrobe : Section 354B

This provision clearly specifies that a male who uses criminal force to disrobe (undress) a woman will be punished for a prescribed period of time. A violation of this section is similarly a cognizable offence, although it is not punishable by imprisonment.

Voyeurism : Section 354C

Any man who watches, captures the image of a woman engaged in a private act in circumstances where she would normally expect not to be observed either by the perpetrator or by any other person at the perpetrator’s behest, or disseminates such image shall be punished on first conviction with either description for a term not less than one year, but not more than three years, and shall also be liable to fine. On a second or subsequent conviction, the offender shall be sentenced to imprisonment of either kind for a period of not less than three years, but not more than seven years, as well as a fine.

Stalking : Section  354 D

Anyone who-

  • Follows a woman and constantly contacts or seeks to contact her in order to encourage intimate relationship, despite her evident indifference; or
  • Keeps track of a woman’s internet, email, or other forms of electronic communication;

Commits the offence of stalking.

Kidnapping (Section 359-363)

Kidnapping, in any form, restricts an individual’s freedom. It essentially infringes on the right to life given by Article 21 of the Indian Constitution as well as human rights. It instils fear in people’s minds and has a negative impact on civilised society.

As per Section 359 of the Indian Penal Code, kidnapping is of two kinds: kidnapping from India, and kidnapping from lawful guardianship.

As per Section 360,  kidnapping from India is said to be committed when one person conveys any person beyond the limits of India without the consent of that person, or of some person legally authorised to consent on behalf of that person.

As per Section 361, kidnapping from lawful guardianship is said to be committed when one person takes or entices any minor under sixteen years of age if a male, or under eighteen years of age if a female, or any person of unsound mind, out of the keeping of the lawful guardian of such minor or person of unsound mind, without the consent of such guardian.

Essential ingredients  

  • Taking or enticing away a minor or a person of unsound mind; 
  • such a minor must be under the age of sixteen years, if a male, or under eighteen years, if a female;  
  • the taking or enticing away must be out of the custody of the minor’s or person’s lawful guardian; and 
  • such taking or enticing away must be without the consent of the guardian.

In S Varadarajan vs. State of Madras (1964), a girl approaching majority willingly left her father’s house, made plans to meet the accused at a specific location, and went to the sub-office of the registrar where the accused and the girl signed a marriage agreement. There was no proof that the accused had taken her out of her parents’ legal care because the accused had played no active role in persuading her to leave the residence. It was decided that there was no evidence of an offence under this Section.

Abduction (Section 362)

Under Section 362 of the Indian Penal Code, whoever by force compels, or by any deceitful means induces, any person to go from any place, is said to abduct that person.

Essential ingredients

  • Forcible compulsion, or inducement by deceptive means, and 
  • The intention of such compulsion or inducement must be the removal of a person from any location.

Force

The term ‘force’, as defined in Section 362, IPC, refers to the use of actual force, not just the threat or display of force. As per this Section, it would be kidnapping if an accused threatened the prosecutrix with a pistol to force the victim to accompany him.

Deceitful means 

Inducing a person to leave a location through deception is also a crime under this provision. As an alternative to ‘use of force,’ deception is deployed. As a result, a person can use force to compel, or alternatively, deceive, another person to leave a location. In either case, it is regarded as kidnapping.

To go from anywhere 

Compelling or convincing a person to leave any location is an important part of abduction. It does not have to be from a lawful guardian’s custody, as in the case of kidnapping. Abduction, unlike kidnapping, is a continuous crime. When a person is removed from India or from the legitimate custody of a guardian, the crime of kidnapping is committed. However, in the instance of abduction, a person is abducted not only when he is taken from one location to another, but also when he is transported from one location to another.

The punishment for kidnapping is covered under Section 363 of the Indian Penal Code. It states that anyone who kidnaps any person from India or from lawful guardianship will suffer imprisonment of a term which may extend to seven years, and shall also be liable to pay a fine. 

Sexual offences (Section 375-376D)

Rape

According to Section 375 of the Indian Penal Code, sexual intercourse must occur under one of the six clauses. When a man has sexual intercourse with a woman: 

  • against her will; or 
  • without her consent; or 
  • with her consent by putting her in fear of death or harm; or 
  • with her consent, when the man knows that he is not her husband and that her consent is given because she believes he is another man to whom she is lawfully married; or
  • with her consent, if she is unable to understand the nature and consequences of that to which she consents due to insanity, intoxication, or the administration by him personally or via another of any stupefying or unwholesome substance at the time of such consent; or
  • with or without the consent of a woman under the age of fourteen.

The Apex Court declared clearly in Tulshidas Kanolkar vs. State of Goa (2003), that consent granted by a mentally challenged girl cannot be called ‘consent’ for sexual intercourse since she is incapable of understanding the ramifications of her approval.

Debate on marital rape

The act of sexual intercourse with one’s spouse against the will of the spouse is known as marital rape. Around the globe, 140 of 195 countries have already made marital rape a criminal offence. The United States, the United Kingdom, Germany, France, Australia, and Russia are among the countries on the list. India is one of the few nations where marital rape is not illegal. Its legal roots may be traced back to Section 375 of the Indian Penal Code, which deals with rape and has an “exception” that states, “Sexual intercourse by a man with his own wife if the wife is not under the age of fifteen years, is not rape.”

In March 2000, the Law Commission of India issued its 172nd report on “Review of Rape Laws,” which stated that it would not propose the elimination of the exemption clause in Section 375 “since that may amount to inappropriate interference with the marital relationship.”

In 2015, the petition from RIT Foundation challenged the legality of the “marriage exception.” In 2022, it will be heard by the Delhi High Court for the final round. Another important case was  Independent Thought vs. Union of India (2017) in which the question of contention was whether a husband is considered to have committed rape if he had sexual intercourse with his wife between the ages of 15 and 18. Articles 14, 15, and 21 of the Indian constitution were the topics of discussion. The Apex Court held that  If the wife is under the age of 18, Exception 2 of Section 375 of the IPC cannot be applied.

Arguments against the criminalization of marital rape

  • As such issues are handled under the Protection of Women from Domestic Violence Act 2005, there is no need for a separate law to cover marital rapes or to remove the exclusion from IPC section 375.
  • Several individuals, jurists, and even men’s rights advocates have expressed concern over the criminalization of marital rape, citing misapplication of the law as a major factor.
  • The burden of proof is a complicated problem that has precluded the criminalization of marital rape.
  • One of the primary reasons against criminalising marital rape is that it might cause the institution of marriage to break down, with wives unjustly accusing husbands.

Arguments for the criminalization of marital rape

  • The disparity between married and unmarried women under the exemption was considered to be arbitrary and artificial and to contravene Article 14 of the Constitution, which ensures equal protection under the law.
  • It was also contended that the marital rape exemption violated married women’s right to autonomy and privacy under Article 21 and their right to non-discrimination under Article 15 by denying them protection under Section 375. (1).
  • It is a statistically proven fact that the vast majority of sexual assaults are perpetrated by those who are acquainted with the victim – often spouses and partners.
  • The actuality and prevalence of marital rape against women, which underscores the necessity for its punishment, must be distinguished from the issue of legal misapplication.

Gang rape 

The Section 376D of the Indian Penal Code, states that when a woman is raped by one or more people who are part of a group or acting in concert for a common goal, each of those people is guilty of rape and is sentenced to a minimum of twenty years in prison and a maximum of life in prison, which means they will be imprisoned for the rest of their lives, and with fine.

The Supreme Court in Pradeep Kumar vs. Union Administrator, Chandigarh (2006), emphasised that the prosecution must prove that: 

  1. there was a group of persons who decided to act in concert with the common intention to commit rape on the victim, 
  2. more than one person from the group acted or participated in a concert in the commission of rape with a pre-arranged plan, and 
  3. the act of rape has been committed by one or more members of the group (not necessarily everyone) in furtherance of the group’s common objective. 

The rape is believed to have been committed by all members of the group. The existence of a common intention is the essence of culpability. The mere presence of a person at the time of another’s rape is inadequate to establish that he had a prior concert or meeting of minds with others, and thus to convict him of gang rape.

Unnatural offences (Section 377)

Lastly, the sixth kind of offence against the human body is an unnatural offence. Section 377 defines unnatural offences as:

Whosoever voluntarily has carnal intercourse against the order of nature with any man, woman or animal, shall be punished with imprisonment for life, or 10 years and be liable to fine.

This Section deals with the punishments for sodomy, buggery, and bestiality. Carnal intercourse done against the natural order by a man with a man, or in the same manner with a woman, or by a man or woman in any manner with a beast constitutes the offence. Penetration, even if it’s only a slight hint, is crucial in rape. In a case under this Section, consent is irrelevant. The individual who takes a passive role is just as guilty as the person who actively participates in the act as an abettor.

The constitutional validity of Section 377

In Naz Foundation vs. Government of NCT of Delhi (2009), a non-governmental organisation challenged the constitutional legality of Section 377 in the Delhi High Court. Naz argued that Section 377, by encompassing consensual sexual intercourse between two adults in private, violates the Constitution’s basic rights granted in Articles 14, 15, 19, and 21. It was emphasised that Section 377, in essence, goes against the spirit of the right to equality before the law (which prohibits any classification based on irrational rationale)and rights to personal liberty (which includes the right to privacy, dignity, and individual autonomy) guaranteed by the Constitution’s Articles 14 and 21, respectively. It stated that Section 377 is in violation of Article 15 of the Constitution. The Delhi High Court accepted all of the parties’ contentions after a thorough examination of their arguments and counter-arguments in light of appropriate constitutional provisions and aspirations; judicial pronouncements and juristic opinions from home and abroad; moral justifications for and against (de)criminalization of consensual homosexuality; and reforms carried out in overseas law relating to sexual act between two willing adults in private. It determined Section 377 to be partially unconstitutional. It decided that Section 377 is illegal in as much as it criminalises consenting sexual actions of adults (i.e., persons aged 18 and up) in private, as it violates Articles 14,15 and 21 of the Constitution.

After hearing equally compelling reasons for and against the retention of Section 377 in the IPC, the Supreme Court rejected the Delhi High Court’s Naz Foundation Dictum and upheld the constitutional validity of Section 377 of the IPC in Suresh Kumar Koushal vs. NAZ Foundation (2013).

In 2018, the Supreme Court of India’s landmark ruling in Navtej Singh Johar & Ors. vs. Union of India (2018) decriminalised all consensual sex among adults, including homosexual sex. The Court maintained Section377 provisions that make non-consensual actions or sexual acts on animals illegal.

Criminal Law Amendment Bill, 2019 

  • Reforms to the legislation dealing with sexual offences against women, as a result of the Nirbhaya Case, have made a substantial contribution to women’s safety. As a result, the Criminal Law (Amendment) Bill, 2019, aims to make progress by advocating for a gender-neutral component that punishes all forms of sexual assault.
  • The bill attempts to add a definition of “modesty” to Section 2 of the IPC. It seeks to describe it as a personality feature pertaining to any man, woman, or transgender person’s generally held belief in morality, decency, and integrity of speech and behaviour.
  • Sections 354, 354A, 354B, 354C, and 354D of the IPC are proposed to be modified. Outraging women’s modesty, sexual harassment, intent to disrobe, voyeurism, and stalking are all prohibited. These laws will be amended to account for the rape perpetrator’s and victim’s gender. The words “guy” or “any male who” are planned to be replaced with “anyone,” whereas “a woman” is proposed to be replaced with “any person.”
  •  Section 375 of the Indian Penal Code has been changed. The bill proposes to replace pronouns like “any person” or “other person” with terms like “any person” or “other person,” making rape a gender-neutral offence.
  • The bill also seeks to merge the terms “penis” and “vagina” with the term “genital,” which is defined in Explanation 1 as the penis and vagina.
  • The bill proposes a novel Section 375A, which defines sexual assault as the intentional touching of the genitals, anus, or breasts, or forcing another person to touch such parts of the other person without consent, or the use of unwelcome words or gestures that create an “unwelcome threat of actionable nature,” punishable by up to three years in prison and/or a fine.
  • Besides particular sub-sections dealing with the rape of women and children in custody, this bill aims to gender-neutralize the crimes listed in Sections 376A, 376B, 376C, and 376D of the IPC by replacing the word “woman” with “any person.”

Punishments for offences against the human body

Section 53 of the IPC prescribes five kinds of punishments: 

  • Death penalty,
  • Life imprisonment,
  • Imprisonment (rigorous/simple),
  • Forfeiture of property, and
  • Fine.

Chapter 3 of the Indian Penal Code 1860, titled punishment, deals with the various types of punishment ranging from Sections 53 to 75.

Capital punishment 

The taking away of an offender’s life as a penalty for an offence is known as capital punishment. It is only given in the rarest of rare cases in India. It may be imposed as a penalty for the following offences:

Imprisonment

Simple Imprisonment 

It is a sort of punishment in which the offender is just imprisoned and not forced to work. Some of the offences that are punished by simple imprisonment are:

  1. Wrongful restraint (Section 341), 
  2. Uttering any word on making any sound or gesture with an intention to insult the modesty of a woman (Section 509), 
  3. Misconduct in a public place by a drunken person (Section 510),
  4. Defamation (Section 500, 501, 502), 
  5. Dishonest misappropriation of property (Section 403).

Rigorous Imprisonment  

In this type, the offender is forced to perform manual labour such as grinding grain, digging, and cutting wood, among other things. In the case of State of Gujarat vs. High Court of Gujarat (1998), the imposition of hard labour on inmates undergoing rigorous imprisonment was found to be constitutional. It can be awarded in the following offences: 

  1. kidnapping in order to murder (Section 364), 
  2. robbery (Section 392)
  3. dacoity (Section 395), and
  4. housebreaking in order to commit an offence punishable with death (Section 449).

Imprisonment for life 

Imprisonment for life implies that the offender will be imprisoned for the rest of his or her natural life. According to Section 57, a sentence of life imprisonment is equivalent to a sentence of 20 years. However, for the purposes of calculating fractions of periods of punishment, life imprisonment is equivalent to 20 years of imprisonment; otherwise, the sentence of life imprisonment is of unlimited duration.

Forfeiture of property

The confiscation of property as a punishment has a longstanding past. Section 53 of the Indian Penal Code, fifthly, allows forfeiture of property as a method of punishment. It was repealed by the Indian Penal Code (Amendment) Act 1921 (16 of 1921), which deleted Sections 61 and 62 of the Code. Absolute seizure of the offender’s property is no longer a method of punishment. The Indian Penal Code, on the other hand, has three offences for which the offender is liable to forfeit his property. They are as follows:

  • Depredations against the territory of Power in alliance or at peace with the Government of India are punishable by confiscation of property used or intended to be used in committing, or obtained by, such depredations (Section 126).
  • Receiving property taken in the course of a war or depredation is punishable by forfeiture of that property (Section 127).
  • A public official who illegally purchases or bids on property in his or her own name or in the name of another is penalised by having the property confiscated (Section 169).

Fine 

Almost every provision dealing with the imposition of punishment contains a fine as a punishment. Where a sum is specified to which a fine may extend, however, Section 63 states that the amount of fine to which the offender is accountable is limitless, but not excessive.

In Soman vs. State of Kerala (2012), the Supreme Court noted a number of criteria that it has considered while exercising sentence discretion, including proportionality, deterrence, and rehabilitation. The Court said that mitigating and aggravating elements should be considered as part of the proportionality analysis.

Prevention of crimes : the way forward

In India, crimes include a wide range of offences such as murder, money laundering, fraud, and human trafficking, among others. These crimes have various statistical tendencies that alter over time as human views evolve. Currently, crime is no longer a component of social issues; rather, it has evolved into a sociocultural, political, and economic issue for a nation. By intervening to influence their variety of causes, crime prevention methods and initiatives strive to lower the chance of crimes happening, as well as their potential adverse impacts on individuals and society, especially fear of crime.

Governmental intervention

Coordination

Coordination refers to the necessity for national crime prevention diagnoses and strategies to include the linkages between local criminal problems and international organised crime, if applicable.

Role of executives

The executives’ primary attention should be on preventing the conditions that lead to criminality and, eventually, the conduct of crimes. This may be accomplished by a methodical, integrated, and coordinated strategy, with punitive measures being used only as a last option. Governments should strive to develop a system based on a state of equilibrium between repression and prevention, as well as rehabilitation initiatives that would have a significant impact on people’s psyche, therefore diluting criminality.

Human rights instruments

Ensure that the international treaties, legislation, and other measures to safeguard human rights are followed and monitored.

Commitment

Given the broad nature of the causes of crime and the skills and responsibilities required to address them, government commitment at all stages is required to create and maintain an institutional framework for effective crime prevention.

Accountability

Only enough resources for establishing and maintaining programmes and assessment, as well as clear accountability for financing, implementation, evaluation, and accomplishment of desired results, can ensure sustainability and accountability.

Policies and programmes

Knowledge-based strategies, policies, and programmes must be founded on a wide interdisciplinary basis of knowledge, as well as evidence of specific crime issues, causes, and proven approaches.

Non-Governmental intervention

  • The need to incorporate crime prevention into applicable social and economic policies, as well as an emphasis on the social integration of at-risk communities, children, families, and youth, is referred to as socio-economic development and inclusion.
  • The NGO programmes can offer multimedia training to young people at risk/ex-offenders and their families, as well as rehabilitation, training, career possibilities, microcredit, and support for survivors, as well as peer education training and awareness-raising.
  • While governments in most countries play an active role in crime prevention through specific policies and legislation, non-governmental organisations (NGOs) must demonstrate an increasing interest in assisting in the creation of safe and crime-free communities.
  • Non-governmental intervention programmes that take the shape of public-private partnerships have a lot of success. The majority of non-governmental activities should be based on development, with a focus on training and rehabilitation.

Conclusion

There are crimes committed in every country, and there is no such thing as a crime-free state. Crime is like an unavoidable disease that cannot be completely eliminated from the world, but it can be reduced in severity and frequency by adopting the deterrence jurisprudence, which states that the punishments for crimes must be such that they instil fear in the minds of those who commit them, thus deterring them from committing them. Because it is a truth that individuals in today’s period may perform activities to the point that they cost human life, a valuable gift from God, only then can human behaviour be regulated, restrained, and steered in good faith to reach the common goal of peace.

Reference 


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UCC in India

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uniform civil code

This article is written by Saurav Narayan practising advocate at Delhi High Court. This article has been edited by Yashprada (Associate, Lawsikho).

This article has been published by Sneha Mahawar.

Introduction 

In one sense, the notion of a Uniform Civil Code is derived from the concept of secularism, and it also supports secularism in establishing deep and broad roots. Secularism, it is said, refers to a broad and fundamental, primordial, and substantial trend in the formation of human thinking and experience. The removal and isolation of religion from other areas of life and thinking constitutes the secularization of life and philosophy. Secularism, as a concept of non-discrimination based on religion, is a result of the rule of law and is necessary for the rule of law to thrive. This notion is infused in the whole constitutional fabric and is meant to be a way of life and a point of view. Secularism entails equal regard for all religions—positively, tolerance and acceptance, and negatively, the exclusion of religion from other areas of life in the negative meaning. Secularism also implies that common citizenship presupposes common family law in all civil concerns, including family. 

Religions have had a massive impact on Indian politics and society and have acted as the cornerstone of Indian culture. Religion can be said to be a way of life in India. It is an essential aspect of Indian culture. In subjects such as marriage, divorce, inheritance, and adoption, the Uniform Civil Code asks for the creation of a single law for India that would apply to all religious sects be it Hindu, Muslim, Christian, Sikhs and others. The code is based on Article 44 of the Constitution, which states that the state must work to ensure that citizens throughout India have access to a uniform civil code. However, according to Article 37 of the Constitution  Article 44 is not a mandate. The Government of India has not committed its attention to fulfilling this positive responsibility imposed by the Indian Constitution. This fact is in and of itself a roadblock to its implementation. Another stumbling block is the vast ability of the Indian Parliament and State legislatures to act on most of the issues that may be included in the standard civil code. And the primary impediment is that various religious groups have separate personal rules that they hold dear and do not want any outside body interfering with. Nonetheless, the State must pay close attention to the objectives outlined in Article 44 of the Indian Constitution and make every effort to put them into action as quickly as possible. However, making a single large code that covers all aspects of marriage, divorce, succession, adoption, and so on may make altering the people’s age-old traditions and customs extremely difficult. 

Historical background 

Mughals ruled India before the arrival of the British, that is, before 1612. During the Mughal period, justice was administered by Qazis who applied Muslim law to Muslims, but there was no such guarantee when it came to disputes involving Hindus. On the criminal side, under the Mughal Nawab, the country’s law was Muslim criminal law, which was applied uniformly to everyone and governed by Qazis and Muftis. 

During the British period, the Mughal system of judicial administration was mostly maintained until 1772. Warren Hastings’ Judicial (Administrative) Plan of 1772 established uniform civil courts throughout the mofussil areas of Bengal, Bihar, and Orissa, which bordered the Calcutta presidency, for the native people, without distinction between Hindus and Mohammedans. On the civil side, the courts were to apply the personal laws of the various religious communities, such as Hindu law for Hindus, Muslim law for Muslims, Christian law for Christians, Parsee law for Parsees, and Jewish law for Jews. On the criminal side, the Muslim criminal law was applied universally to all religious sects in India and was updated by regulations from time to time. Company courts operated in the Mofussil area, and legal expertise was not required for selection as a judge in the court. After 1781, the Supreme Court, founded in 1774 in the Calcutta Presidency under the Regulating Act of 1773, started to apply just three systems of law: Hindu law, Muslim law, and English law. On the civil side, the Supreme Court applied Hindu law to Hindus and Muslim law to Muslims and English law to the rest of the religious communities, as applied under the theory of justice, equity, and good conscience. 

The Supreme Court was to have authority within the presidency towns and over British citizens living in the mofussil territory beyond the presidency towns, namely Bengal, Bihar, and Orissa. On the criminal side, it adapted a great deal to the local situations in India. 

The Warren Hastings Regulations of 1772 were followed by the regulations of 1781, which stated that in terms of inheritance, marriage, religious practice, and institutions, either community was to be administered by its law. In terms of criminal justice, the British eventually supplanted Muslim criminal law with English law. In 1790, Lord Cornwallis, the Governor-General of Calcutta, introduced changes to improve criminal justice administration and implemented ameliorative measures in criminal law and procedure. The English common law regulated criminal justice by 1832. In 1860, the Indian Penal Code was finally enacted. This broad approach persisted throughout the British reign until India’s independence when the British authorities divided the country into two states based on religion. Those who wished to remain in India after the partition understood Indian authorities did not subscribe to the two-nation or three-nation theories. And that there would be just one country in the Indian republic – India – and no group could claim to be a distinct entity based on religion. It is important to emphasize that the British only allowed the various personal laws to govern topics like inheritance, marriage, and so on under Warren Hastings’ rules of 1781.

Personal law, rather than religion, was permitted to exist and operate under government authority, and this can be superseded/supplemented by passing a Uniform Civil Code. No community, in this opinion, can argue against the implementation of a Uniform Civil Code for all people of India’s territory. In 1835, Lord McCauley was selected to lead the First Law Commission. According to the Commission, non-Hindus and non-Muslims have no lex loci or local law. Hindus and Muslims, the two biggest faiths, have rules that are interwoven with their religion. The Commission mentioned consistency of law and stated that India does not have any lex loci? India still lacks a lex loci in personal law. Let us now look at the personal law that applies to diverse groups in India. 

Mitakshara and Dayabhaga law controlled Hindus before independence. Even Mitakshara regulations were not enforced consistently, resulting in the formation of four distinct sub-schools. As a result, Hindus have their own set of personal laws that apply to them. Most Indian provinces and states have begun to create their Hindu laws. Likewise, Muslim Sunni and Shia were separated into two primary groups. 

Although Muslim personal law is drawn from the same source, the Holy Quran, these two groups differ in how personal law is applied to them. Sunnis are further separated into four sub-schools, whilst Shias are grouped into three sub-schools. The Dissolution of Muslim Marriages Act was passed in 1939, allowing Muslim wives to divorce their husbands through the courts. Christians, who are separated into two major factions, Catholics, and Protestants, are in the same boat. The Christian Marriage Act of 1827 and the Indian Divorce Act of 1869 codify their law. Parsees have their own set of personal laws that apply to them. As a result, India’s laws lack a consistent civil code for Indians. 

India has five major religious communities: Hindus, Buddhists, Jains, Muslims and Sikhs and all are represented by their laws. Each religious community has its own set of rules. Not only that, but there are also differences in rules based on sex, sect, residence, and the type of marriage performed within each of these groups. Apart from this, there are still many customary laws that apply to various groups. 

With the amalgamation of the union territories of Goa, Daman, and Diu in 1961 and the union territory of Pondicherry in 1962, two foreign legal systems were introduced into the previously existing composite system of personal laws. The Portuguese Civil Code, 1867, which is based on Code Napoleon, is the general legislation that applies to all residents of Goa, Daman, and Dieu. However, by 1880, the Portuguese had maintained several Hindu practices and rituals among Goa’s Gentile Hindus. Hindus in Daman and Dieu were also subjected to laws. The legal situation in this regard has remained unaltered to this day. The French Civil Code, 1802 is in effect in Pondicherry and applies to all residents. In the years following independence, the Indian Parliament codified and altered the Hindu personal law. Other religious organizations’ laws remained unaffected, except the Special Marriage Act of 1954, which applied equally to all religious communities. 

Uniform Civil Code at the Constituent Assembly 

The debates in the Constituent Assembly on draft Article 35, which is now Article 44, enjoining the development of a Uniform Civil Code, are highly instructive and place the matter in its correct context. The anxieties and misgivings of some of the members of the Muslim minority community were allayed, and the legal stance on a Uniform Civil Code was placed into perspective. It was pointed out that after the Constituent Assembly unanimously adopted draft Article 19, which is now Article 25, which in clause (2)(a) provides for the regulation or restriction by the law of any secular activity not associated with religious practice, and that marriage and succession are secular aspects that cannot be considered essential parts of religion, Article 44 (draft Article 35) is a natural follow-up. 

It’s important to remember what some of the Constituent Assembly’s leaders and Constitution-makers said. 

Mahboob Ali Beg underlined that the civil code mentioned in Article 35 did not encompass family law or inheritance. Still, since some people are unsure, a provision should be added to ensure that the civil code covers property transfers, contracts, and other items governed by personal laws. 

M.A. Ayyangar, a member of the Constituent Assembly, spoke out and said it was a contract issue. Ayyangar endeavored to make a strong case, claiming that the Holy Quran and the Prophet’s Traditions prohibited the marriage contract. He said that the Indian notion of secularism accepted all religions with equal respect and dignity. He emphasized that diverse communities must be permitted to exercise their religion and culture in a secular state like India and follow their own laws. 

Furthermore, Hindu and Muslim organizations questioned the Constituent Assembly’s authority to intervene with religious legislation. As a result, Article 35 was anti-religious liberty. 

K.M. Munshi presented his views, claiming that it would be legal for Parliament to enact a uniform civil code even if Article 35 did not exist because the article ensuring religious freedom provided the State with the ability to control secular activities related to religion. 

Dr B.R. Ambedkar rejected the revisions and supported the State’s ability to intervene in the personal laws of distinct communities. He stood up for the laws of several communities. He backed the Hindu members of the Constituent Assembly’s arguments. But, at the same time, he provided Muslim members with some guarantees, explaining that the plan only created a ‘power,’ not a ‘duty. ‘Furthermore, Dr Ambedkar advised Muslim members not to “read too much into Article 44.” Even if the Uniform Civil Code is enacted, he claims that it will only apply to those who choose to be controlled by it. 

After the debates, the members overwhelmingly voted to include a Uniform Civil Code in the Constitution. 

Conflicts of personal laws 

India is a diverse country with many different cultures and communities. India is home to several world-famous faiths and cultures. Throughout India’s history, religion has played a significant role in the country’s culture. Law and tradition both foster religious variety and tolerance in the country. Even in a country with secularism written into its Constitution, there is a conflict in the notion of secularism, especially when seen considering its citizens’ laws. It has become a perplexing melting pot of Hindus, Muslims, Christians, and Parsees, each with its own set of personal rules governing marriage, adoption, guardianship, divorce, and succession, among other things. In India, almost every community has its own set of personal rules about marriage and divorce. Although several different sects live as citizens of the same nation, India’s family laws range from one faith to the next. This is because the customs, social usage, and religious interpretation of these societies as they live their lives are heavily influenced by the religion they were born into and the laws that govern society. Marriage, divorce, property, and inheritance are among the codified personal laws: 

Part III of the Indian Constitution clashes with personal laws

Two situations must be explored to determine the conflicts: 

  1. Personal laws codified and customary in practice contradicts Part III of the Indian Constitution. 
  2. Personal law conflict tries to change current laws that have been judged to be arbitrary and unlawful under Article 25 of the Indian Constitution. 

Since the commencement of the Indian Constitution, the Indian court has struggled to determine the relationship between personal laws and Part III of the Indian Constitution. The Narasu Appa Mali Case is a historic and important ruling that sheds some light on this conundrum. 

Bombay State v. Narasu Appa Mali 

The legitimacy of the “Bombay Prohibition of Bigamous Marriage Act 1946,” whose validity was challenged under Articles 14, 15, and 25 of the Indian Constitution, was a question in the case. The questions before the court were:

  1. Whether Hindu personal rules are “law” as defined by Article 13(3)(b) and Article 372(3), Explanation 1? 
  2. Whether a change in one religious community’s law without an equivalent change in another breaches the principle of legal equality? 

The court ruled as follows: 

  1. Personal laws do not fall within the definition of “law” as defined in Article 13(3), nor do they fall under the definition of “law in effect” as defined in Article 372. (3). Article 14 was held to be unaffected by the Bombay Prevention of Hindu Bigamous Marriage Act, 1946, since the State was permitted to implement social reforms in stages. 
  2. If religious practices are incompatible with public order, morality, or a social welfare policy entrusted to the State, the general welfare of the people of the State will be prioritized over religious activities. 

Let us look at the issue in Sarla Mudgal v Union of India where the question in point was whether a Hindu man who was married under Hindu law can solemnize a second marriage by converting to Islam.  Supreme Court observed that adopting Islam for a second marriage is a violation of personal laws. Further, Hindu marriages can be dissolved under the Hindu Marriage Act, 1955, i.e. just converting to Islam and marrying again would not terminate the marriage under Hindu Marriage Law, and hence will be a violation of Section 494 of the Indian Penal Code.

Distinction in various personal laws 

India is a country full of a diverse population and their various laws which all have their own distinctions, some of which are as follows: 

  1.  Polygamy is permitted under Muslim law, but not under Hindu, Parsee and Christian law. 
  2.  Marriage definition—Muslim law specifies that a female witness is not the same as a male witness. 
  3. Marriage is a civil contract in Muslim law, but it is still viewed as a sacramental union under Hindu law, but only in part. 
  4. Muslim males are permitted to divorce without going through the courts, but Hindu, Christian, and Parsee males and females can only divorce through the courts.
  5.  Muslim women can only be divorced in a court of law for specific reasons. Female Hindus, Christians, and Parsees are all in the same boat. 
  6. A Muslim marriage is automatically dissolved if the husband abandons Islam, but not if the wife abandons Islam. According to Hindu law, a spouse who converts to another faith gives the other spouse the right to divorce. Under Parsee law, the situation is the same. Apostasy does not impair a marriage in Christian law, but if the apostate husband marries again, the woman has the right to divorce. 
  7. According to Muslim law, a divorced wife cannot marry her prior husband unless she first remarries to another man who has granted her a divorce or has died after the marriage has been consummated. There is no such criterion in Hindu, Christian, and Parsee law. 
  8. Except for the iddat period, a divorced woman is not entitled to any maintenance under Muslim law. Maintenance for a divorced wife is permitted under Hindu, Christian, and Parsee law until her death or remarriage. 
  9. A daughter inherits half of a son’s portion under Muslim law. 
  10. A person cannot dispose of more than 1/3 of his property by will under Muslim law, while no such restriction exists under other personal laws. In the case of Hindu joint family property, one can only dispose of his portion, not the entire joint family property, by will. 
  11. A female is not a coparcener under Mitakshara law. Coparcenary is a male-only organization. Other personal laws do not have a structure like this. The notion of coparcenary is still in use today, even after the enactment of the Hindu Succession Act of 1956. 
  12. Muslim law acknowledges paternity and consequently the validity of the child, although other laws do not. 
  13. Adoption is not recognized by Muslim, Christian, or Parsee law, but it is recognized by Hindu law. 
  14. A child is considered legitimate under Muslim law if it is born between a certain length of separation between spouses (after divorce or otherwise), which varies from 10 months to 4 years. The courts in India have refused to recognize the Hanafi law, which allows for a two-year separation, and the Shafi law, which allows for a four-year separation since they cannot occur naturally. If the separation time is more than 270-280 days, Hindu, Christian, and Parsee laws do not confer legitimacy. 

Suggestions 

The present patterns show how little progress has been made in obtaining a UCC and how difficult the work remains. In this regard, the following suggestions are made: 

  • While uniform legislation is important, enacting it all at once may harm the nation’s unity and integrity. Gradual progressive legislation should be implemented in a democracy ruled by the rule of law. At different levels, the legal system can correct the most serious problem. 
  • The greatest method to change people’s habits and customs is to do so gradually. Instead of creating a single civil code that covers all aspects of family law, it would be preferable to create piecemeal standard laws in specific areas such as adoption, maintenance, divorce, marriage, inheritance, etc. 
  • A comparison of the numerous personal laws should be conducted to determine the similarities and differences between their provisions. Based on those principles, which are almost similar under all personal laws, personal status legislation can be instantly adopted and implemented. 
  • A family law board, similar to the business law board under the Ministry of Industrial Affairs, should be established under the Union Law Ministry. 
  • The causes for the ineffectiveness of current family legislation, such as the Dowry Prohibition Act, Hindu Code, and Muslim Marriage Dissolution Act, should be studied. 
  • The adoption of a temporary dual system of family law appears to be the solution to the situation under consideration. Religious groups’ laws cannot be scraped all at once thus they must be stripped of all objectionable components. On the other hand, we could enact and submit to a referendum on UCC based on the best of current family law. If a majority of members of the community work for its adoption, it will be made mandatory for them; otherwise, it will be allowed to continue to be governed by its separate personal laws, which will be reformed and modernized as needed, and if such a dual system has real value, the separate personal laws will eventually fade away. As a result, for this duty to be completed successfully and the objective of Article 44 to be realized smoothly, the State must apply its authority wisely and liberally.

Conclusion 

In conclusion, it is correct to infer that a secular India requires a Uniform Civil Code, but it is not essential to impose any Uniform Civil Code on a populace resistant to change. The majority of people are unwilling to abandon religious practices in favor of secular rules. Only better literacy levels, understanding of numerous socio-political concerns and legitimate debates, and increasing social and religious mobility would allow the Uniform Civil Code to be properly implemented. The ultimate goal of changing the Uniform Civil Code should be to ensure equality, national unity, integrity, and justice for both men and women. 

While implementing the UCC across the country, we must keep in mind the difficulties of minority religious groups, such as insecurity and full loss of identity within Indian culture, which must be addressed. A Uniform Civil Law can’t be adequately implemented unless and until it has the support and approval of all relevant stakeholders and communities. At the same time, only contemporary legislation about aggressive heads should be integrated into the UCC when it is enacted. The mobilization of Hindus, Muslims, Christians, and Parsis in this direction will very certainly have positive outcomes and lessen fundamentalist hostility. 

References 


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Actio personalis moritur cum persona : legal maxim

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This article has been written by Meera Patel, a B.A. L.L.B student from the Maharaja Sayajirao University, Faculty of Law, Vadodara. The legal maxim, actio personalis moritur cum persona refers to a personal right of action that dies with the person.This article explains and illustrates everything you need to know about the aforementioned legal maxim. 

Introduction

When it comes to law and legal literature, a very short and to-the-point expression that signifies the fundamental principle of any law or a legal policy is known as a legal maxim. These legal maxims are pedagogy and often used by the people to make the literature easier to understand and as precise as possible. The word Maxim has been derived from the Latin term ‘Maxima’. Usually, these legal maxims we come across are in the Latin language as most of these maxims originated from different European States during the medieval era. These states used Latin as their legal language. Various features of the Constitution of India have been borrowed from countries around the world and majority of those countries are from Europe. This explains why most of the legal maxims are in Latin language.

These rules/principles are universal and have the same meaning everywhere. Courts all over the globe are guided by these legal maxims as they help them to understand the applicability of the laws in a more clear sense. These maxims create a good basis for sound judgment. The reason behind this is that as these maxims are not authoritative laws and applying these maxims in cases may be vain, they automatically become a good support system for the judgments that are produced by the courts. This article talks about the legal maxim “actio personalis moritur cum persona” and how it has been used in various cases all over the world.

What does it mean

Actio personalis moritur cum persona in bold and literal terms means ‘a personal right of action dies with the person’. 

  • Actio stands for ‘an act’ or ‘an action’
  • Personalis stands for ‘personal’
  • Moritur stands for ‘death’
  • Cum stands for ‘with’ 
  • Persona stands for ‘person’

In layman’s terms, a personal right and/or cause of action dies with the death of the person. Earlier, all types of actions which specifically include actions for unliquidated damages, or we can say actions of torts and contracts are terminated as soon as the person dies. Their duties, as well as remedies, are terminated upon their death but since the laws of the Miscellaneous Provisions Act, 1934 were reformed, it has been put out that, “On the death of any person, all causes of actions vested in him shall survive for the benefit of his estate. Thus, all causes of actions in torts say for defamation and the claim for damages for bereavement survived the deceased.

Thus, we now know that the main rule of this maxim is that all duties and remedies die with the person but defamation, attacking/ assaulting and personal damages are the three big exceptions of this legal maxim.

Explanation

To explain the entire concept of the legal maxim actio personalis moritur cum persona, we need to understand the roots of this principle.

  • This maxim was quoted and found in the literature of a case that was heard in a court in the year 1496 in Europe. In this case, a judgment was ruled against a woman and she was held guilty under the charges of defamation. Before she could pay the dues for the damage she had done to the tortfeasor, she died. 
  • As per the legal maxim, actions of torts or contracts are destroyed as soon as the person dies of either an injury or by the injuring party. Even though defamation was not an exception earlier, it now is a legal cause of action that can be brought after a person dies if the person is held guilty of defamation, attacking/assaulting, or personal damages.
  • Applying the same rule as above, it has also been stated that this maxim can be applied to actions that are to be done as per the contracts and are purely based on personal nature. For example, a promise made to someone to marry them. But one thing to keep in mind is that its application has been narrowed down and its effects are only limited to the actions that arise out of libel. 
  • Apart from the statutory exceptions mentioned above, there is a provision where personal representatives of a deceased person have the right to take action if the personal property of the deceased has been injured during their lifetime. The only rule here is that the relatives who take an action for the deceased person may receive compensation only if the deceased was killed negligently or by trespassing.
  • As per English law, the doctrine of this legal maxim is incorporated and it is not in any way odd or unusual to the common legal system. The entire concept of this maxim is based on the primary strata under the universal law. As time passes by, we have seen the laws change and the main thing to notice is that the judicial support for the same has gradually been limited and now it is further being restricted by the legislation. The only rule that is like an umbrella rule for this maxim which is used by the legislation is that if an injury was caused by the deceased to another person or the property of someone else, it is only fair that all the unliquidated damages be compensated to the satisfaction of the sufferer. Even with this rule, it is only fair to say that the action will die with the person to whom or by whom the wrong was done.

Illustrations

  • In a situation where Tithi commits battery on Saumya and if either of the parties dies during the incident, the right of actions of Saumya arose due to the fact that Tithi committed the offense of battery on her, Saumya will not get the right to take any action against Tithi. But if Tithi commits the offense of battery on Saumya and manages to cause other injuries to her, the right of action that the third person will get will not be affected at all and the legal maxim “Actio personalis moritur cum persona” shall be used in this case.
  • In the month of January, person A agrees and signs a contract to perform a dance show at the wedding of person B which will take place in the month of July. A was in an accident in June and could not make it to the wedding. This way, B cannot execute an action against A or their legal representatives for the breached contract.
  • Saloni betrays and wrongfully appropriates land from Brijesh. Saloni dies right after this and that is why Brijesh has the right of action against the legal representatives of Saloni.

Case law references

Listed below are a few important case laws in which this principle was used:

  • In the case of Girja Nandini Devi & Ors. v. Bijendra Narain Choudhury (1966), the court observed and stated that the personal action dies with the person and when actio personalis moritur cum persona was applied, it was held that this legal maxim shall have limited application. It was made clear that due to the cast that this principle operates in a limited class of action ex-delicto which means from a wrong which includes action for damages against defamation, assault or any other personal injuries that does not cause the death of any individual that does not amount to other actions where after the death of the individual, the granted relief cannot be enjoyed. 

The Court also stated, “An action for the account is not an action for damages and it does not fall among the enumerated classes. Nor is it such that the relief claimed being personnel could not be enjoyed after death, or granting it would be nugatory.”

  • The case of Hambly v. Trott (1776) is one of the founding cases for the principle of the maxim actio personalis moritur cum persona. In this case, the defendant died after appropriating some farm animals from the plaintiff. The plaintiff then looked for a way to retrieve those animals from the estate of the deceased but the plaintiff was not able to do as he wished but at the same time, the Court drew some rules by which any claim against an estate shall be successful. This was because of the fact that trespass would fail as it was against the person and not a property therefore any action for a contract would be successful. 
  • In the case Shri Rameshwar Manjhi v. Management of Sangramgarh Colliery (1993) which was heard by the Supreme Court, it was held that this maxim has been under a lot of criticism under the common law as well as in England. This is due to the fact that it has been categorized as an unjust legal maxim because its expression is inaccurate and obscure in nature which in the end makes its application uncertain. The Court also said that this maxim has caused grave injustice to the people.
  • In the case of Vatsala Srinivasan v. Shyamala Raghunathan (2016), the Court stated that in an event where the executor of a will dies, this maxim will not be applicable to probate the proceedings that shall be initiated by the executor before their death. In such situations, if an executor fails to comply with his duties, the beneficiaries of the will or anyone who represents the will are entitled to intervene and carry on the remaining proceedings that are required to carry on the proceedings with an official modification prayer in the letters of administration with the will with the annexed. 
  • In the case of Nurani Jamal & Ors v. Naran Srinivasa Rao & Ors (1993), the applicability of this maxim in the context of motor vehicle accidents was discussed in front of the Andhra Pradesh High Court. The single bench judge was confronted with questions like whether the claims for the damages survive even after the death or injury during a motor vehicle accident and can the legal representatives take any action if there happens to be a loss to the property of the deceased. The Court stated that the actions for damage claiming for personal injuries shall not die with the deceased person. The maxim shall not be used where there is a loss of property/estate of the deceased person.
  • A similar example case law that is related to motor vehicle accidents is Gujarat State Road Transport Corporation Ahmedabad v. Ramanbhai Prabhatbhai (1987) where the factor of negligence weighs in. Due to the negligent driving skills of the petitioner’s driver, a fourteen-year-old boy had to suffer the consequences and die. The brother of the deceased filed a suit and asked for compensation in front of the Motor Accidents Claim Tribunal and this case was later on affirmed and backed up by the Gujarat High Court as well as the honorable Supreme Court of India. The Courts held that the contention of compensation that the right of a person to die with the person is not recognized by the rule of law and that is why the corporation is liable to pay compensation to the brother of the deceased teen.
  • In the case of Prabhakara Adiga v. Gowri & Ors (2017), the Court stated that, “normally, personal action dies with a person but this principle has application to limited kinds of causes of actions.” The Court also observed that actio personalis moritur cum persona is a principle that is used as a conjecture that states that the personal action dies with the person and has a limited application. The Girja Nandini Devi & Ors. v. Bijendra Narain Choudhury case was cited in this case as well and that is why the Court also stated that this principle operates in a limited class of action which includes class for damages, assault and other types of personal injuries that does not amount to other actions where after the death of the individual, the granted relief cannot be enjoyed. 

Conclusion

To sum it all up, the maxim actio personalis moritur cum persona in literary terms means that the personal right to an action dies with the person as we have discussed above through various case laws but many courts have made it clear that due to various factors pointed out by the courts in the aforementioned case laws, the literal meaning is different from its application and that is the reason why this maxim is considered unjust and unfair as a whole.

References


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The doctrine of stare decisis : legal maxim

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This article has been written by Sneha Mahawar pursuing BBA LLB from Ramaiah Institute of Legal Studies. This article discusses the doctrine of stare decisis which refers to the rule in which the courts would follow previous judicial decisions usually made by higher courts, thus, acting as a precedent for future instances. 

Introduction 

The court’s policy of adhering to precedents is known as stare decisis. It simply means “to stand by the decided matters” i.e., stick to a decision. ‘Stare decisis’ is an acronym of the Latin phrase ‘stare decisis et non quieta movere” ’which means “to stand by decisions and not to disturb the already settled matters.” Thus, it means to stick to one conclusion and not disrupt settled things. The legal principle of stare decisis requires courts to follow and respect precedents established by the court of higher authority.

The principle and concept of stare decisis is enshrined in the Latin maxim ‘stare decisis et non quieta movere’ and is embodied in Article 141 of the Constitution of India, 1949. It states that the law declared by the Supreme Court shall be binding on all courts within the territory of India. The words ‘binding’ and ‘on all courts’ strike our attention. It must be resolved what is binding must be decided, as well as whether the Supreme Court is bound by its own rulings.

Stare decisis et non quieta movere : legal maxim

The notion of stare decisis is essentially a rule that a court must observe and abide by the rules set down by a higher court. In the legal context, judges interpret the meaning of law so that the already settled issues should not be disturbed in order to maintain continuity. If various judges issued different opinions in different courts on the same facts, there would be chaos, and many parties would feel as if they are powerless, unjustifiably treated and their rights have been infringed.

The doctrine of stare decisis refers to the rule in which the court would follow previous judicial decisions in future instances. As a result, when the same questions or arguments are addressed in later instances, the court will follow the findings of previous cases. The phrase ‘the doctrine of precedent,’ according to Salmond, has two interpretations. In a broad sense, precedents are reported, may be cited, and are likely to be followed by courts. In a literal sense, it indicates that a precedent not only carries a lot of weight but that in certain instances, courts are obliged by past decisions. As a result, all a court truly does is apply precedents or rulings laid down in the past.

Courts are arranged in a hierarchy. The Supreme Court is the pinnacle of the legal system. It renders final decisions in cases. The decision is a source of authority for whatever it determines. The ratio is what matters in a decision, not every observation contained within, or what logically emerges from the different observations stated in the judgment. The statement of the reason or principle on which a court has resolved a case is sufficient to establish a precedent. The word ‘law declared’ is the one that is legally binding. A conclusion that is not expressed, not based on reasoning, and not based on a thorough examination of the problem cannot be considered ‘law declared.’

Concept of stare decisis

Henry Melvin Hart and Albert M. Sacks were American legal scholars who were regarded as influential members of the Harvard Law School faculty. They also proposed approaches to the most remarkable and important American law cases. According to them, the doctrine of stare decisis advances three basic aims.

To begin with, the concept of the doctrine instils faith along with confidence in citizens’ ability to arrange their economic and social interactions. It accomplishes this aim by assuring them that they are in conformity with the law. It also stimulates and promotes the private conflict resolution method since the court might derive a conclusion based on this doctrine.

Second, it eliminates the necessity for retrials in circumstances when a decision has already been reached. The doctrine of stare decisis promotes fair and efficient adjudication by avoiding the necessity for litigants to re-argue and judges to rethink every issue in every case, and it prevents a rush of litigation whenever the bench changes.

Finally, it increases public trust in the judiciary system by limiting and reducing the power of judges. The doctrine aids judges in making predictable and non-chaotic decisions.

Foundation of the doctrine of stare decisis in India

The theory of stare decisis is based on the principle of maintaining consistency and certainty. The judicial system requires a high level of predictability, stability, and certainty. Precedent appeals to the core want in a legal system that is based on reasonable, regular, and stable expectations. It meets the requirement that all other things being equal, a legal system should settle a dispute in a comparable manner, regardless of the various courts. It discourages re-litigation of problems that have previously been decided authoritatively.

The notion of stare decisis, in its current form, does not appear to have existed in India prior to the arrival of the British. Following the foundation of British authority in India, the notion of binding precedent became relevant in India. The notion of stare decisis is predicated on the two preconditions which are the hierarchy of courts and the reporting of judgments.

The judgment of the Exchequer courts was granted binding power for the first time in England in the 17th century. After the British conquest of India, the notion of precedent was developed in India, which led to a hierarchy of courts and the concept of a higher court’s judgment being regarded as a binding decision on subordinate courts. As a result, stare decisis has been a characteristic feature of our legal system since the 18th century.

The idea of stare decisis was not widely employed at first owing to a lack of written records of decisions or judgments in cases, but once the notion of keeping a record of the verdict was introduced, the wide usage of the doctrine was witnessed. 

Article 141 of the Indian Constitution

The Latin maxim ‘stare decisis et not quieta movere’ enshrines the idea and concept of stare decisis, which is codified in Article 141 of the Indian Constitution of 1949. Article 141 states that any legislation pronounced by the Supreme Court is binding on all courts within the territory of India. It further states that only a case’s ratio decidendi, not the obiter dictum or the mere facts of the case, has binding force. As a result, in order for other courts to implement the Supreme Court’s ruling, they must first comprehend the correct concept and principle established in the preceding case.

Article 141 highlights certain important concepts: 

  1. All the Indian courts are required and bound by law to follow the Supreme Court’s ruling and maintain the concept and principle constant;
  2. The judgment must be read in its entirety, with the remarks from the judgment being assessed in light of the issues before the court;
  3. Only if a judgment is based on determining or resolving a legal matter may it be used as a precedent;
  4. When a court is divided in determining a matter, the result reached by the judges in the majority will be cited as a precedent, rather than the one reached by the judges in minority;
  5. Supreme Court’s ex-parte rulings are also legally binding and can be used as precedents;
  6. The decision of the Supreme Court does not bind it;
  7. The binding character of a judgment is not affected by procedural irregularities or immateriality;
  8. Special leave petitions are legally binding.

Treatment of precedents by higher courts

A higher court can do the following in a case or matter that was previously determined by a lower court:

Reverse

A higher court can reverse the decision laid down by a lower court. The initial decision will no longer be valid and have any effect. 

Overrule

When a higher court determines in a subsequent case that the ruling in the first case delivered by a lower court was incorrect, it overrules the lower court’s ruling.

Distinguish 

A higher court distinguishes the matter of a lower court when the material circumstances of the case are different and the principles determined in the previous case are too limited to be applied effectively to the new facts.

In the usual order of things, courts follow the concept and doctrine of stare decisis but higher courts have the power to overturn rulings that are erroneous or do not stand up in light of new circumstances. When a decision is recent or when there is a split of opinion, the court may overrule it. It can also overturn a judgment if it is confusing, ambiguous, or causes undue hardship, or if the error in the preceding judgment cannot be effectively corrected through the legislative process. A judgment that has been overturned is no longer a binding precedent. The re-opening of previous conflicts on the basis of a change in the legal position may occur if an earlier case’s verdict is overruled.

Following a precedent refers to doing something that has already been done. As a result, the first stage in evaluating a precedent is to assess the resemblance and, if there is any, the size or degree of similarity between the facts. Thereafter, the next step is to examine whether the same approach has been used before as a precedent and has addressed the problem.

Merits of the doctrine of stare decisis 

  1. It saves time and prevents needless lawsuits.
  2. The legislation is developing in a systematic manner.
  3. The most significant benefit was that it increased legal clarity and uniformity. A competent decision-making body must be consistent in its decisions and prevent arbitrariness in its decisions.
  4. It removes the element of uncertainty and allows inferior courts to adopt the higher court’s ruling unanimously and without dissent.
  5. The presence of precedent reduces the chances of a judge making an error while assessing the principle in question.

Demerits of the doctrine of stare decisis 

  1. Practical law is founded on experience, taking precedent into account reduces the scope of experience, which detracts from the core of practising law;
  2. It has been chastised for impeding the free evolution of law;
  3. The doctrine’s and precedent system’s most serious flaws is its rigidity and unwillingness to allow change;
  4. Another downside is that it is complicated, which makes the situation more unpredictable at times.
  5. Many times, judicial rulings that are perceived to be errors are upheld as precedent law.

Case law

Hari Singh v. State of Haryana (1993)

In this case, it was held that one of the key concepts to be kept in mind in the system of justice administered by courts is that the courts of co-ordinate jurisdiction should have consistent opinions in respect to similar sets of facts and circumstances or questions of law. Instead of establishing judicial concord, if opinions offered on identical facts are discordant, judicial anarchy will result. The view that has dominated the field for a long period must not be shaken simply because another opinion exists. As a result, the notion of stare decisis was upheld.

Illustrations

  • The Supreme Court has ruled on the mechanism for selecting candidates for an examination. In a lower court, a man named Amar challenges the selection method for another exam. Will the Supreme Court’s ruling be binding on the subordinate courts?

The notion of stare decisis requires the lower court to follow the precedent. If the circumstances of the case are comparable, it must also be decided in accordance with the previous case. However, because the examination that the Supreme Court decided on is not the same as the one that Amar is contesting in the lower court, the lower court might make a different ruling.

  • While Red is on vacation, Blue borrows Red’s lawnmower. Blue does not seek Red’s consent. Blue destroys Red’s lawnmower by mistake, but he doesn’t inform Red. He merely restores the lawnmower to Red’s garage. When Red gets home and sees his lawnmower is broken, he insists that Blue purchase him a new one. The two end up in court, where the judge rules that Blue owes Red the money he needs to fix his lawnmower, but that Blue is not obligated to purchase Red a new lawnmower.

This is a precedent-setting judgment. Lower courts in the same jurisdiction should now apply this new rule: If a borrower breaks a borrowee’s thing and was using the borrowee’s item without authorization in the first place, the borrower must pay to have the item repaired. Because the notion of stare decisis requires it, lower courts will adopt this new precedent.

Ratio decidendi

Ratio decidendi is a Latin term that means ‘reason for decision’ or ‘rationale for decision.’ The Ratio decidendi is the point in a case where the judgment or principle established by the case is determined. The Latin phrase Ratio decidendi directly translates to “cause for deciding.”

It is the justification given for reaching a judgment in a matter in the judicial context. Such a reason is not the legislation that is attracting attention in the current case, but rather a vital concept that aids the court in reaching a certain conclusion. This element of the precedent, not the general observations of the court, must be adopted by the courts in subsequent decisions.

The rationale provided by the ruling is the subject of a legal dispute rather than a factual disagreement. Because the circumstances cannot be the same in other instances, the judge’s observations relevant to the facts cannot be binding in other situations, even if comparable laws apply. However, the reasons for reaching a judgment are binding. If there are several grounds for making a certain decision, all of them will be binding in later situations.

Commissioner of Income Tax v. M/s Sun Engineering Works Private Limited (1992)

In this case, the Supreme Court held that in applying the decision to subsequent cases, the court must carefully try to ascertain the true principle established by the Supreme Court decision, rather than cherry-picking words or sentences from the judgment that are divorced from the context of the question under consideration by the court to support their reasoning. The judgment would not be binding if it did not specify a justification for determining a point, because the reason for the decision is what is binding.

State of Orissa and Others v. Mohd. Hiyas (2006)

In this case, it was held that the substance of a decision is its ratio decidendi, rather than every observation contained in the judgment. The statement or the reason or principle on which a court has resolved a case is sufficient to establish a precedent.

Obiter dictum

Obiter dictum is a Latin word that means “said in passing or other things mentioned,” referring to a fleeting comment in a decision. It is an English common law notion in which a decision is made up of only two parts: ratio decidendi and obiter dictum. In the judicial context, ratio decidendi is binding in terms of court precedent, whereas, obiter dictum is simply persuasive. However, the Supreme Court’s obiter dicta, on the other hand, are binding on all Indian courts and tribunals.

Obiter dicta are non-essential statements that allude to hypothetical facts or unrelated legal matters. Obiter dictum refers to a judge’s words or views that, while contained in the body of the case law, are not required to be stated in the judgment. Obiter dicta, unlike ratio decidendi, are not the subject of a judicial judgment, even if they are true statements of law.

To assess if a judicial remark is a ratio or obiter, the Wambaugh Inversion Test states that one shall invert the argument, or ask whether the result would have been different if the statement had been deleted. If this is the case, the statement is important and ratio; if it is not, it is obiter.

Conclusion

We can conclude by saying that stare decisis means “the rule of precedent.” When a court has previously reviewed a legal problem and made a decision, it is referred to as precedent. A higher court’s decision is binding on the lower court and serves as a precedent for the lower court’s decision, which cannot be twisted by the lower court. This idea is known as stare decisis, which translates to “stand by what has been declared.” It is commonly known as the notion of precedent in India. Justice Cardozo says, “in a system so highly developed as our own, precedents have so covered the ground that they fix the point of departure from which the labour of the judge begins. Almost invariably, his first step is to examine and compare them. If they are plain and to the point, there may be a need for nothing more. Stare decisis is at least the everyday working rule of our law”. 

References 


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Important articles of Indian Constitution

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This article is written by Arya Mittal from Hidayatullah National Law University. This article seeks to provide and analyse a list of the most important articles of the Indian Constitution. The list is based on the author’s perspective. 

This article has been published by Sneha Mahawar.

Table of Contents

Introduction

The Indian Constitution is the fundamental law of the country. In other words, the Constitution of India can be regarded as the ‘suprema lex’ of India. It is the longest written constitution in the world. The Constitution of India was drafted in 2 years 11 months and 18 days and was adopted by the citizens of India on 26th January 1950.

The Constitution acts as a guideline for every law that is enforced in India. It includes the basic structure of governance in the country. On commencement, the Constitution included 395 Articles divided into 8 Schedules and 22 Parts. Currently, the Constitution of India consists of 470 Articles divided into 12 Schedules and 25 Parts and has been amended 104 times.

Fundamental Rights

Article 12 – Definition of the State

Article 12 of the Constitution marks the inception of Part III of the Constitution, which deals with the fundamental rights of the citizens. The fundamental rights range from Article 12 to Article 35. The objective of Part III of the Constitution is that the State shall not deny these rights to any citizen in any situation save for the procedure established by law. In this context, the term “State” has been provided with a wide meaning by the framers. The provision provides that for the purpose of Part III, the term “State” shall include the Government and the Parliament of India, the Government and the Legislature of the States, and all local and other authorities within the territory of India or under the control of the Government of India.

The Parliament and legislature of States are considered to be a part of the “State” as their acts are considered to be the acts of the Government. In addition to this, the expression “local and other authorities” has been provided with a large scope by the judiciary. Local authorities include authorities such as municipalities, district boards, panchayats, etc. On the other hand, the other authorities even include private bodies, provided that the violation of the fundamental rights of a person are grave and affects the conscience of the public. One of the most celebrated judgments in this aspect is Vishaka v. State of Rajasthan (1997), through which the judiciary declared the POSH guidelines.

Even in the cases of environmental degradation, the actions of private entities have been considered to be included under the expression “other authorities”, as was held in M.C. Mehta v. Kamal Nath (1996). Even the judiciary considered itself to be a part of the expression, clearly distinguishing between the judicial and the administrative functions. This was held in the case of Riju Prasad Sharma v. State of Assam (2015).

Thus, the term “State” has been provided with a great scope so as to ensure the protection of the fundamental rights of a large number of people.

Article 13 – Laws in derogation with the fundamental rights

The provision that provides paramountcy to the fundamental rights of the citizens is Article 13 of the Constitution. It states that if a law is inconsistent with or in derogation with the fundamental rights of the citizens, it shall be deemed to be void. The nature and importance of the provision lie within the interpretation by the judiciary. The provision states that any law already in existence, as well as prospective laws to be enacted by the Parliament or the legislature, shall be void to the extent of their inconsistency with Part III.

One of the most important interpretations of Article 13 was whether any law, which has been declared void for the reason of it being in contravention with Part III of the Constitution, shall be considered to be abrogated for once and for all, or whether it shall revive with relevant amendments so as to bring it in harmony with the fundamental rights. Analysing this issue, the Hon’ble Supreme Court, in the case of Bhikaji Narain Dhakras v. the State of M.P. (1955), evolved the “Doctrine of Eclipse”. According to the doctrine, any law which was in existence before the enforcement of the Constitution, and is declared to be void for being inconsistent with fundamental rights, such law shall not be dead altogether, rather it shall be “eclipsed” until relevant amendments are made to it.

Another crucial aspect interpreted by the judiciary was whether an ordinance or an amendment shall be considered to be a ‘law’ under Article 13. Article 13 (3)(a) states that the expression “law” would be inclusive of ordinances, orders, bye-laws, customs and usage, notifications, and regulations that are applicable on the territory of India. A conflict between the judiciary and legislature was based on the inclusion of amendments under Article 368 of the Constitution within the expression “law in force”. The judiciary was of the opinion that amendments shall be included under the expression, as it was held in I.C. Golak Nath v. the State of Punjab (1967). However, Article 13(4) was introduced through the Constitution (24th Amendment) Act, 1971, which excluded the amendments from the expression altogether. The validity of the amendment was upheld by the Hon’ble Supreme Court in Kesavananda Bharati v. the State of Kerala (1970).

Article 14 – Right to Equality

Article 14 states that “the State shall not deny to any person equality before the law and equal protection of the laws within the territory of India.” The principle of equality is considered as a golden thread that runs along the whole of the Constitution. The notion is supported by the fact that whenever a fundamental right of a person is violated, Article 14 is also violated. The nature of the right provided under Article 14 is that the equals shall be treated alike. In this context, the equals include those who are in substantially similar situations. Article 14 guarantees that the equals shall not be discriminated against in any manner by the State.

Article 14 is applicable to “any person” and is not limited to the citizens only. The interpretation of the expression has provided that even juristic persons are protected under the provision. In order to ensure the same, the principle of Rule of Law has been incorporated under the Constitution. The principle states that no person shall be above the law in any manner whatsoever. In Maya Devi v. Raj Kumari Batra (2010), the Hon’ble Supreme Court held that “In a system governed by the rule of law, there is nothing like absolute or unbridled power exercisable at the whims and fancies of the repository of such power. Discretion has to be exercised with well recognized and sound juristic principles with a view to promote fairness and aid equity.”

However, the provision allows a reasonable classification between people that are subjected to different classes or sections. Thus, in a case where the State classifies the different classes of people and treats them differently by enacting a law, the same shall not be struck down for the reason of violating the principle of equality under Article 14 of the Constitution. In R.K. Garg v. the Union of India (1982), the constitutional validity of the Special Bearer Bonds (Immunities and Exemptions) Act, 1981, provided for the classification of people on the grounds of possession of black money. However, the classification shall be subjected to reasonable nexus and intelligible differentia. In K. Thimmappa v. State Bank of India (2000), the Court held that to create a valid classification, there shall be an intelligible differentia between those that are separated from the group and those who are left out; and that such intelligible differentia must have a reasonable nexus, so as to achieve the objective of the legislation.

Article 15 – Prohibition of discrimination

Article 15 prohibits discrimination only on the grounds of religion, race, caste, sex, place of birth or any of them. Article 15 is considered to be a specific application of the right to equality. This right is only provided to the citizens of India, unlike Article 14, which extends to every person.

In Kathi Raning Rawat v. the State of Saurashtra (1952), the Court interpreted clauses (1) and (2) of Article 15. It was held that the crucial words in Article 15 are “discrimination” and “only”. The State is prohibited from discriminating between individuals only on the grounds mentioned therein. The interpretation of the words under Article 15 provides that any discrimination only on the grounds mentioned therein shall make any act or law unconstitutional. However, if any classification is made on any other grounds along with these grounds, the law shall be deemed valid.

In Nain Sukh Das v. the State of U.P. (1953), the law for an election of a local body was held to be unconstitutional as it made a classification that was based solely on religious grounds. The law was held violative of Article 15(1) of the Constitution. Similarly, in M.R. Balaji v. the State of Mysore (1963), the orders of the State of Mysore that classified backward classes on the basis of caste and excluded Brahmins from such classification, in order to further provide reservation in colleges and other educational institutions, were quashed by the Hon’ble Supreme Court of India on the grounds of being violative of Article 15(1).

It is pertinent to note that clause (3) of the provision empowers the State to create any special provision for women and children. In Vijay Lakshmi v. Punjab University (2003), the provision which provided for reservation for a woman candidate for the post of the principal was not held to be violative of Articles 14, 15 and 16.

Article 16 – Equality in opportunities for public employment

Article 16(1) of the Constitution provides that there shall be equality in opportunity for employment under the public employment for every citizen. The purpose of Article 16 is to provide equal opportunity to every citizen without classifying them into different groups a priori. It is an affirmative right provided to the citizens and promotes the notion of equality. However, clause (1) does not prohibit any sort of classification altogether. On the contrary, the scope of classification under Article 16 is wider than that under Article 14. The Courts have upheld various classifications on various occasions. In State of Bihar v. Bihar State (Plus 2) Lecturers Association (2008), the Court held that there is a clear distinction between a trained teacher and an untrained teacher. Thus, for the purpose of Article 16, such a distinction can be classified and the same shall be valid on the grounds of having intelligible differentia.

Article 16(2) states that “No citizen shall, on grounds only of religion, race, caste, sex, descent, place of birth, residence or any of them, be ineligible for, or discriminated against in respect of, any employment or office under the State.” Thus, clause (2) is incorporated to avoid any kind of discrimination for the purpose of providing an opportunity for public employment at an office of the State.

Article 16(3) provides the Parliament with the power to enact special laws to prescribe the requirement of residence for purpose of employment or appointment.

Article 19 – Right to Freedom

Article 19 of the Constitution provides certain liberties to the citizens which are fundamental to human existence. Article 19 (1) provides that all the citizens shall have the right to:

  1. Freedom of speech and expression;
  2. Peaceful assembly without any arms;
  3. Formation of associations or unions;
  4. Free movement across the nation;
  5. To reside and settle in any part of the territory of India;
  6. Practice any profession, or carry any occupation, trade or business.

Prior to 1978, Article 19 included the right to acquire and dispose of property under clause (f). However, the right was shifted from the chapter on the fundamental rights under Part III to Chapter IV of Part XII under Article 300A, which shall be discussed in the subsequent chapters.

The rights provided under Article 19 are not absolute and uncontrolled. Rather, the State can impose reasonable restrictions on these rights of the individuals. Such reasonable restrictions strike a balance between fundamental rights and social order. In State of Bombay v. F. N. Balsara (1951), the Court observed that restrictions placed in order to achieve the directive principles or fundamental duties shall be reasonable restrictions.

Article 21 – Right to Life and Personal Liberty

The right to life and personal liberty provided under Article 21 is one of the most important rights of every individual. Article 21 provides that “No person shall be deprived of his life or personal liberty except according to procedure established by law.” One of the most important features of the right to life under Article 21 is that it is available to every person, which means that it even extends to foreigners while they reside in the territory of India. It is also pertinent to note that the right to life and personal liberty is available only against the State and cannot be enforced against another individual. This was held in the case of Sabeeha Faikage v. the Union of India (2012).

The right to life under Article 21 is not mere animal existence. This was held by the Hon’ble Supreme Court in the case of Kharak Singh v. the State of Uttar Pradesh (1962), paying reliance upon the American case of Munn v. Illinois (1876). In the words of Justice Field, “By the term “‘life” as here used something more is meant than mere animal existence. The inhibition against its deprivation extends to all these limits and faculties by which life is enjoyed. The provision equally prohibits the mutilation of the body or amputation of an arm or leg or the putting out of an eye or the destruction of any other organ of the body through which the soul communicates with the outer world”.

Given the above observation of the Court, the right to life is inclusive of the right to live with human dignity as it was held in Maneka Gandhi v. the Union of India (1978) and upheld by the Court in Francis Coralie Mullin v. the Administrator, UT of Delhi (1981). 

Finally, the question of whether the right to life under Article 21 includes the right to die was answered by the Hon’ble Supreme Court in Gian Kaur v. the State of Punjab (1996), wherein it was observed that the right to life includes the right to die with dignity. However, it does not amount to a person deliberately ending his or her life in an unnatural manner.

The debates around the right to life and the right to die with dignity often involved the constitutional validity of euthanasia in India. In Aruna Shanbaugh v. the Union of India (2011), the Hon’ble Supreme Court laid down the guidelines for allowing passive euthanasia in India. The guidelines are as follows:

  1. “A decision has to be taken to discontinue life support either by the parents or the spouse or other close relatives, or in the absence of any of them, such a decision can be taken even by a person or a body of persons acting as a next friend. It can also be taken by the doctors attending the patient. However, the decision should be taken bona fide in the best interest of the patient.
  2. Hence, even if a decision is taken by the near relatives or doctors or next friend to withdraw life support, such a decision requires approval from the High Court concerned.”

In the most celebrated judgement of Common Cause v. the Union of India (2018), the Hon’ble Supreme Court held that the right to life envisaged under Article 21 includes the right to die with dignity. While allowing passive euthanasia, the Court was of the opinion that where a patient is uncertain when his eventual death is going to take place, his right to live with dignity would corrode if he has to live in a state of suffering and pain. However, the State must protect the most basic fundamental right provided to every citizen by the Constitution of India, and that is the right to live with dignity.

Article 21A – the Right to Education

The right to education is a great example of judicial creativity in India. The extended meaning of the right to life and personal liberty has enabled the judiciary to analyse various unenumerated rights under Article 21. In Mohini Jain v. the State of Karnataka (1992), the issue before the Hon’ble Supreme Court was the constitutionality of capitation fee. The single-judge bench rejected the constitutional validity of the capitation fee and exercised judicial creativity to create the new fundamental right, the right to education. Later, in Unni Krishnan v. the State of Andhra Pradesh (1993), the correctness of Mohini Jain’s case was questioned before the Constitutional Bench of the Hon’ble Supreme Court. The decision was partly upheld and it was held that the right to life under Article 21 includes the right to free education. However, the decision was also partly overruled and the Court observed that the right to free and compulsory education could be availed only till the age of 14 after which it shall be subject to the economic capacity of the State.

Through these decisions, Article 21A paved its way in the Constitution by the Constitution (86th Amendment) Act, 2002. In order to ensure better enforcement of the right, the Parliament enacted the Right of Children to Free and Compulsory Education Act, 2009. The constitutional validity of the statute was upheld by the Hon’ble Supreme Court in Society for Unaided Private Schools of Rajasthan v. the Union of India (2012).

Article 22 – Protection against arrest and detention

Article 22 of the Constitution provides protection against arrest and detention. It provides the minimum procedural requirements that must be followed on account of the arrest of a person. Article 22 (1) provides that the person who is arrested shall be informed about the reason for such arrest as soon as he or she is arrested. It also provides that the person has the right to consult and be defended by a legal practitioner of his or her own choice. Clause (2) of the provision provides that every person arrested shall be produced before the nearest magistrate within twenty-four hours. However, the provision shall not be considered as an absolute right by the citizens. Clause (3) provides for the exception of this right. It states that “Nothing in clauses (1) and (2) shall apply— (a) to any person who for the time being is an enemy alien; or (b) to any person who is arrested or detained under any law providing for preventive detention.” 

Even preventive detention made under any law shall not exceed a period of three months unless approved by an Advisory Board of persons who have been or are qualified for being a judge of a High Court. The provision has also provided that the Parliament shall prescribe the maximum period of preventive detention of a person by enacting appropriate laws.

Article 23 – Prohibition of human trafficking and forced labour

Article 23 of the Constitution provides for the prohibition of human trafficking, beggary and other forms of forced labour. An exception to this right has been provided under Article 23 (2), which states that the State is entitled to impose compulsory service for a public purpose if it is required to do so. The purpose behind the provision is to enhance the dignity of human beings and prevent them from being treated as chattels. The Immoral Traffic (Prevention) Act, 1956 has been enacted in consonance with Article 23 of the Constitution.

The Hon’ble Supreme Court, in the celebrated judgement of People’s Union for Democratic Rights v. the Union of India (1982), observed that forced labour may arise in various ways – it may be physical force, deteriorated living conditions, hunger, poverty, want or destitution.

Article 32 – Remedies for enforcement of fundamental rights

Article 32 is referred to as the heart and soul of the Indian Constitution. It was Dr. B.R. Ambedkar who referred to Article 32 as the most important provision of the Constitution. During one of the constitutional debates, Dr. B.R. Ambedkar iterated “If I was asked to name any particular article in this Constitution as the most important — an article without which this Constitution would be a nullity — I could not refer to any other article except this one. It is the very soul of the Constitution and the very heart of it.” The reason for the prime importance of the provision is that it guarantees the right to constitutional remedies through the writs. The writs are invested with the Hon’ble Supreme Court in order to provide security to every citizen.

There are five types of writs that are provided under Article 32 of the Constitution – habeas corpus, mandamus, quo warranto, prohibition and certiorari. The citizens can approach the Apex Court to enforce any of these writs in order to safeguard their rights. While performing the duties provided by the Constitution, the Hon’ble Supreme Court is considered to be on qui vive, which is the Latin phrase for vigilant.

The issue of hate speech was raised in the case of Pravasi Bhalai Sangathan v. the Union of India (2014), wherein the petitioner sought to get some directions from the Hon’ble Supreme Court. However, the Court held that the power under Article 32 does not amount to the legislative powers of the Court. These powers can only be exercised in cases where a law does not exist on any matter. There are sufficient statutes and laws in relation to curbing the practice of hate speech.

In Subhash Popatlal Dave v. the Union of India (2013), it was held that in order to enforce a right under Article 32, the aggrieved person must first allow the due operation and implementation of the law and exhaust the remedies available. Article 32 and Article 226 have to be treated as the last resort as these rights must be used sparingly and in circumstances where no other efficacious remedy is available.

Directive Principles of State Policy

Article 38 – Social order and promotion of welfare

Article 38 provides that “the State shall strive to promote the welfare of the people by securing and protecting as effectively as it may a social order in which justice, social, economic and political, shall inform all the institutions of the national life”. The 44th Constitutional Amendment enlarged the scope of Article 38. It incorporated clause (2) to Article 38, which provides that the State shall strive to minimise the inequalities in income, and endeavour to eliminate inequalities in status, facilities and opportunities. These inequalities are to be eliminated not only amongst the individuals but groups of people residing in different areas or engaged in different vocations.

Although the provision is not enforceable in a court of law, it still holds much importance in the governance of the country. In Air India Statutory Corporation v. United Labour Union (1997), the Hon’ble Supreme Court, while commenting on the concept of social justice, held that it consists of diverse principles essential for the orderly growth and development of the personality of every citizen. Article 38 provides a duty to the State to promote social justice through laws and incorporate it in the governance of the country.

Article 41 – Right to work, education and public assistance

Article 41 provides that, “The State shall, within the limits of its economic capacity and development, make effective provision for securing the right to work, to education and to public assistance in cases of unemployment, old age, sickness and disablement, and in other cases of undeserved want.” It provides that the State shall ensure the protection of the right to work, right to education and right to public assistance. However, all these rights shall be subject to the economic constraints of the State, and hence, a Court cannot direct the State to make mandatory provisions. In M.C. Mehta v. the State of Tamil Nadu (1996), the Court held that Article 41 shall be interpreted in a manner to ensure that every child receives an opportunity to develop in a healthy environment. In Unni Krishnan v. the State of Andhra Pradesh (1993), the Court held that the right to education is a fundamental right, but the right to work shall be subjected to the economic limitations of the State. The State shall ensure just and humane conditions of work.

Article 42 – Conditions of work and maternity benefits

Article 42 of the Constitution states that the State shall ensure just and humane conditions of work and provide schemes for maternity benefit. The question for maternity benefit often raised before the Court is whether temporary employees shall receive the benefits of maternity benefits under the Maternity Benefit Act, 1961 as well as Article 42 of the Constitution of India. The most celebrated judgement on this aspect is the Municipal Corporation of Delhi v. Female Workers (Muster Roll) (2000).

In this case, the Hon’ble Supreme Court was of the opinion that the State shall ensure the protection of maternity benefits of every woman employed, as most of the women are compelled to work due to sheer poverty. There is no reason why the State should differentiate between a regular employee and a temporary employee, as it would be prejudicial to deny temporary employees benefits which would help them during their pregnancy. In the words of Justice S. Saghir Ahmad, “there is no justification for denying the benefit of this Act to casual workers or workers employed on a daily wage basis.”

Article 46 – Promotion of interests of reserved classes

Article 46 provides that the State shall promote the educational and economic interests of the Scheduled Castes and Scheduled Tribes in order to protect them from social injustice and exploitation. The purpose of the provision is to ensure that the backward classes such as the Scheduled Castes and Scheduled Tribes shall have enough opportunities to cope with others and shall receive better education and opportunities of employment. Article 46 is often read with Article 16 while the Parliament enacts laws related to employment in public sectors, and a reservation is provided to the weaker section of the society.

In Shantistar Builders v. Narayan Khimalal Totame (1990), the Hon’ble Supreme Court directed the Central Government to lay down appropriate guidelines for defining the expression “weaker section of the society”. In Vishwas Anna Sawant v. Municipal Corporation of Greater Bombay (1994), an employee belonging to the backward classes had a fundamental right to receive promotion under Article 16 read with Article 46. On being denied promotion, the employee, who belonged to a backward class approached the High Court. It was held that promotion cannot be denied to an employee who is similarly placed.

Article 47 – Duty of State to increase nutrition level etc.

Article 47 of the Constitution provides that the State is required to raise the level of nutrition, the standard of living and improve public health. It also provides that the State shall endeavour to prohibit the use and consumption of drugs and drinks which are injurious to health except for medical usage. In Dabur India Ltd. v. the State of U.P. (1988), the Hon’ble Supreme Court held that the State has the power to regulate the possession or consumption of medicinal preparation containing a high percentage of alcohol under the Excise Act. The Court stated that Article 47 does not indicate that the medicinal preparation containing alcohol should be excluded in the enforcement of prohibition even though it contains a high percentage of alcohol. This expression has to be construed in the light of directive principles of state policy of bringing about the prohibition of intoxicating drinks and drugs which are injurious to health.

In the State of Bombay v. F.N. Balsara (1951), the validity of the Bombay Prohibition Act, 1949 was challenged before the Court. The Act provided for the prohibition of alcohol in the State of Bombay. The Court held that the State Legislative Assembly was competent to enforce such law as it is provided under Entries 6 & 8 of List II of the Seventh Schedule to the Constitution, read with Article 47.

The Executive

Article 52 & 53 – President of India

Article 52 of the Constitution states that there shall be a President of India. Article 53 is the provision that confers powers to the President of India. Article 53(1) provides that “The executive power of the Union shall be vested in the President and shall be exercised by him either directly or through officers subordinate to him in accordance with this Constitution” The term “executive power” has not been defined under the Constitution. The answer to the question of “what are the executive powers?”, was provided by the Hon’ble Supreme Court in Ram Jawaya Kapur v. the State of Punjab (1955), where it was held that it (executive powers) connotes the residue of the governmental functions after the legislative and the judiciary. It comprises the determination and execution of policies. Maintenance of law and order, promotion of social and economic welfare are a part of the executive powers.

Article 72 – Power of President to grant pardon

Article 72 provides one of the most important powers to the President of India. It states that the President shall have the power to grant pardon to the persons convicted (i) by the Court Martial; (ii) under any law to which the executive power extends; and (iii) with the death penalty.

In Devendra Pal Singh Bhullar v. the State (NCT of Delhi) (2013), the issue before the Hon’ble Supreme Court was to explain the nature and scope of power to grant mercy vested under the President of India under Article 72 and vested under the Governor of a State under Article 161. The Court clarified that the power is not a matter of grace or privilege, rather it is a crucial duty provided to the President and the Governor keeping in view the consideration of larger public interest and welfare of the people.

Article 74 & 75 – Council of Ministers and related provisions

Article 74 of the Constitution provides that the President of India shall be assisted and aided by the Council of Ministers, who shall be appointed under Article 75 by the President himself on the advice of the Prime Minister of India. The President shall be obliged to follow the advice provided to him or her by the Council of Ministers. Proviso to Article 74(1), added by the Constitution (Forty-Fourth Amendment) Act, 1978, provides that the President may require the Council to reconsider its advice, and shall be obliged by the advice after the reconsideration. Further, clause (2) of the provision provides that the questions pertaining to the advice rendered to the President by the Council shall not be inquired in any court of law.

Article 75(1A) provides that the strength of the Council of Ministers, including the Prime Minister, shall not exceed fifteen per cent of the total members of the Lok Sabha. The total number of members that can be elected in the Lok Sabha is 550. Thus, the Council of Ministers shall not exceed 72 members, including the Prime Minister.

It is the Prime Minister and the Council of Ministers who are in power de facto, as the President of India cannot decline the advice of the Council of Ministers, as stated above. Even the Courts are prohibited from questioning such advice and hence the governance of India is of a ministerial nature functioning through the Parliament.

The Judiciary

Article 124 – Establishment of the Supreme Court

Article 124 of the Constitution provides that there shall be a Supreme Court of India which shall consist of a Chief Justice of India along with thirty-three other judges. The maximum number of judges initially was seven. However, in 2019, it was increased to thirty-three. The Chief Justice of India is selected on the basis of the seniority of the judges. The judges of the Hon’ble Supreme Court are appointed by the President of India and cannot be removed save through the process of impeachment. 

Article 136 – Special Leave Petition

In cases that involve a question of general public importance, which may affect the public at large, the Hon’ble Supreme Court entertains such cases under its appellate jurisdiction as per Article 136. These appeals are termed special leave petitions. A petition for special leave may be filed against any judgement, decree, order or sentence passed by any Court or Tribunal. In Reena Suresh Alhat v. the State of Maharashtra (2017), it was held that the discretionary power of the Supreme Court needs it to focus on significant and important issues, and where any alternative remedy is available to the parties, such cases would increase the burden on the Court. Thus, the availability of alternative remedies along with mounting pendency of cases and relatively insignificant legal injuries must be the factors to be kept in mind before filing a Special Leave Petition under Article 136.

Article 142 – Enforcement of decrees and orders of Supreme Court

Article 142(1) provides that, “The Supreme Court in the exercise of its jurisdiction may pass such decree or make such order as is necessary for doing complete justice in any cause or matter pending before it, and any decree so passed or order so made shall be enforceable throughout the territory of India in such manner as may be prescribed by or under any law made by Parliament and, until provision in that behalf is so made, in such manner as the President may by order prescribe.” It empowers the Supreme Court to issue directions in cases where it is necessary. This power is recognized and exercised, if needed, by issuing necessary directions to fill in the vacuum till such time the legislature steps in to fill it up or the executive discharges its roles.

Thus, Article 32 read with Article 142 has been used by the Hon’ble Supreme Court in cases where it believes that it is necessary to intervene. These matters are complex and crucial matters related to the environment, history and religion and the current laws were insufficient for the current scenario.

Article 142 was invoked in the Bhopal Gas Tragedy case (1989) wherein the Hon’ble Supreme Court provided relief to the thousands of people who were affected during the black night of Bhopal Gas Tragedy. In the said judgement, the Hon’ble Supreme Court while awarding the compensation of $470 million to victims observed that to do “complete justice”, it could even override the laws made by Parliament. In the State of Tamil Nadu v. K. Balu (2017), the Court issued guidelines to put a ban on the sale of alcohol within an area of 500 metres from the State as well as national highways.

Article 225 – Jurisdiction of the High Courts

Article 225 provides the jurisdiction of the High Courts, which are established under Article 214 of the Constitution. Every High Court existing at the time of the commencement of the Constitution could by its own rules provide for its jurisdiction, both original and appellate by the virtue of a single-judge bench or a divisional bench. The power to decide the benches rests with the Chief Justice of each High Court.

In R. Rathinam v. State (2000), an association of 75 advocates practising in various High Courts addressed the Chief Justice of Madras High Court for cancellation of various bails granted to certain persons, filed two petitions regarding the same. The Chief Justice directed the petitions to a divisional bench which held that the petitions were not maintainable under Article 225 of the Constitution. On appeal, the Hon’ble Supreme Court held that it is improper to refuse to look into the petitions by providing the reason that they are not maintainable under the law. It was further held that it is necessary to remind all concerned of the legal principles that the Chief Justice is the master of the roster.

Article 226 – Power of the High Court to issue writs

Article 226 empowers the High Courts to exercise the power of issuing writ petitions. The powers of the High Courts under Article 226 are more than that of the Supreme Court under Article 32, as the latter is available only for the enforcement of the fundamental rights, whereas the prior can issue writs in any matter concerning any law. 

In the landmark judgement of ADM Jabalpur v. Shivkant Shukla (1976), the Hon’ble Supreme Court was approached with the question that whether a person can approach the High Court under Article 226 in a state of emergency, wherein the fundamental rights of the citizens are suspended. It was held that a citizen has no locus standi in a state of emergency and hence the High Court cannot be approached under Article 226.

Similar to that of the Supreme Court, the High Courts’ power to issue writs is a discretionary power and shall not be triggered unless there are no alternative remedies available. In Firm Har Prasad Sheodutt Rai v. STO (1958), the Allahabad High Court refused to issue a writ where the petitioner had an alternative remedy against the State Tax Officer under the Appellate Tribunal.

Provisions related to Emergency

Article 352 – National emergency

Article 352 of the Constitution deals with the conditions for proclaiming a national emergency. The President of India is empowered to proclaim an emergency under a situation wherein the security of the nation or any part thereof is under threat either by war, external aggression, or armed rebellion. Such proclamation can be made on the whole of India or any territory under such threat. However, the President shall not proclaim an emergency unless he receives a written communication by the Union Cabinet headed by the Prime Minister of India, as provided under Article 352(3). In addition to this, clause (4) of the provision mandates any proclamation, other than a proclamation revoking emergency, to be approved by both the houses of the Parliament within one month. In case both the houses of the Parliament do not approve the proclamation, it shall cease to exist.

The emergency provisions have been amended thrice. By the Constitution (38th Amendment) Act, 1975, the President of India was provided with the power to proclaim emergency under each of the heads provided under the provision, despite any prior proclamation already existing. Additionally, the amendment brought about the exclusion of the decision of the President to proclaim an emergency from the scope of judicial review, which was later removed by the Constitution (44th Amendment) Act, 1978

Other changes brought about through the 44th amendment are enlisted as follows:

  • The proclamation could be made by the President only after receiving a written communication by the Union Council;
  • The mandatory approval by the houses of the Parliament;
  • Such approval by both the houses shall be through a special resolution;
  • Proclamation to be expired after six months unless approved by both the houses;
  • The words “internal disturbance” were replaced by “armed rebellion”;
  • Article 20 and Article 21 could not be suspended during the proclamation of emergency;
  • Article 19 shall be suspended only in situations of the proclamation of emergency due to war or external aggression, and shall remain unaffected if the proclamation is due to armed rebellion.

The Hon’ble Supreme Court, in Sarbananda Sonowal v. Union of India (2005), got the opportunity to interpret the term “aggression” for the first time. In this case, the constitutional validity of the Illegal Migrants (Determination by Tribunals) Act, 1983 was questioned on the grounds of violation of Article 14. The Act was only applicable to the State of Assam. The objective of the Act was to determine and detain the immigrants from Bangladesh. The Court, upholding the validity of the Act, held that the word “aggression” was deliberately used by the Constitution-makers as it meant more than just a war. The illegal immigrants in the State of Assam were threatening the security of India and hence it amounted to aggression.

A national emergency has been declared three times in India till date. The first national emergency under Article 352 was declared in 1962 during the Indo-China war. The second national emergency was declared in 1971 due to the Indo-Pakistani war revolving around the liberation of Bangladesh. The third national emergency was proclaimed due to “internal disturbance” by the Indira Gandhi government in 1975. It is still considered the darkest phase in the history of Indian politics.

Article 356 – State emergency

Article 356 of the Constitution provides for the mechanism of emergency in a State. The President shall proclaim an emergency in any State of India if he is not satisfied that the government of the State is functioning in accordance with the provisions of the Constitution. Such an opinion shall be made only after receiving a report from the Governor of the State. Once such a proclamation is made by the President, the functions of the State government shall be transferred to the President of India. In addition to this, the functions of the legislative assembly shall be assumed by the Parliament of India. Hence, a proclamation of emergency in a State is often known as the President’s rule.

It is pertinent to note that imposing President’s rule in a State shall be the last resort. In situations where the governance of a State is not in accordance with the Constitution, the Union government can act as per the provision provided under Article 355 of the Constitution to ensure peace and harmony as well as checking that the State government is acting in accordance with the Constitutional machinery.

Article 360 – Financial emergency

Article 360 of the Constitution provides that where the President is dissatisfied with the financial condition or credit of India or any part thereof, he shall proclaim a financial emergency. The provision formerly provided that the decision of the President shall be final and cannot be questioned at any Court of law. The provision was however amended by the 44th amendment and was brought under the scope of judicial review. Similar to the proclamation of a national emergency, a financial emergency shall be placed before both the houses of the Parliament and has to be approved by a special majority in both the houses, save for the period of two months rather than one month in case of a national emergency.

The effect of a financial emergency shall extend the executive functions of the Union of India to pass any order which shall be effective in any State. Such orders may contain provisions for reduction of salaries of the persons serving a State or the Union as well as serving all the money bills to the President for consideration after getting approved by the houses of the Parliament. It is pertinent to note that a financial emergency has never been proclaimed in India.

Other important Articles

Article 51A – Fundamental Duties

Fundamental duties were not a part of the Constitution until 1976. The provision of fundamental duties of the citizens has been incorporated through the Constitution (42nd Amendment) Act, 1976, as under Part IVA and Article 51A of the Constitution. The amendment was brought in under the recommendations of the Swaran Singh Committee. The original report of the committee did not mention any of the fundamental duties. However, when the report was presented before the All India Congress Committee (AICC), it was Dr. Karan Singh who spelled out some of the fundamental duties of the citizens. AICC then suggested an amendment in the report and fundamental duties paved the way to the Constitution.

The fundamental duties of the citizens of India are as follows:

  • Abide by the Constitution and respect the National Flag and the National Anthem;
  • Cherish and follow the noble ideals which inspired our national struggle for freedom;
  • Uphold and protect the sovereignty, unity and integrity of India;
  • Defend the country and render national service when called upon to do so;
  • Promote harmony and the spirit of common brotherhood amongst all the people of India, and renounce practises derogatory to the dignity of women;
  • Value and preserve the rich heritage of our composite culture;
  • Protect and improve the natural environment including forests, lakes, rivers and wildlife, and have compassion for living creatures;
  • Develop the scientific temper, humanism and the spirit of inquiry and reform;
  • Safeguard public property and abjure violence;
  • Strive towards the achievement of the nation;
  • Provide opportunities for education to his child or, as the case may be, ward between the age of six and fourteen years.

The purpose of the fundamental duties under the Constitution of India is to preserve and protect the sovereignty and integrity of the nation. Even prior to the inclusion of the fundamental duties, the Courts were of the opinion that the Constitution confers various duties along with the fundamental rights and directive principles. In Chandra Bhavan Boarding & Lodging v. State of Mysore (1969), the Hon’ble Supreme Court observed that as the Parts III and IV of the Constitution are fundamental in nature, it would be appalling to think that it does not oblige the citizens with some duties. Part IV enables the legislators to impose some duty on the citizens. In Shyam Narayan Chouksey v. Union of India (2017), the Hon’ble Supreme Court issued directions to avoid any sort of disrespect towards the national flag and national anthem.

Article 300A – Right to Property

The right to property was provided under Chapter III of the Constitution under the head of fundamental rights under Article 19 (1)(f). It provided the right to acquire, hold and dispose of the property. It was repealed through Constitution (44th Amendment) Act, 1978, and shifted to Article 300A. The replaced provision states that “No person shall be deprived of his property save by authority of law”. This means that the right may be taken away by the State through proper procedure and laws.

Article 368 – Amendment of the Constitution

Article 368 of the Constitution provides the procedure for amendment of the Constitution. The importance of the provision is manifold. Framing of the world’s largest Constitution in one era and its implementation without any changes in another era is impossible. The fact was realised by the progressive Constituent Assembly. The procedure provides for categories of amendments to the Constitution. The categories include an amendment by simple majority, an amendment by a special majority and an amendment by a special majority coupled with ratification.

The provisions of the Constitution that require a simple majority include provisions such as Article 4, Article 169(3) and Article 239-A. These provisions are not included in the procedure established under Article 368. Provisions provided under Article 368 shall be amended only through a special majority along with the ratification by more than half of the States. These include the following:

  • Articles 54, 55, 73, 162, 241, 279-A
  • Chapter IV of Part V, Chapter V of Part VI, and Chapter I of Part XI
  • Lists provided under the Seventh Schedule
  • Representation of States in Parliament
  • Article 368 itself

Any provisions that are not included in the above-mentioned provision as well as that require a simple majority, shall be amended through a special majority only. It is pertinent to note that Article 13 is beyond the scope of the amendment as provided under Article 368(3) of the Constitution.

In Kesavananda Bharati’s case, the basic structure doctrine was propounded by the Hon’ble Supreme Court, which stated that the basic structure of the Constitution shall be beyond the scope of the amendment under Article 368. The basic structure of the Indian Constitution includes the following:

  • Supremacy of the Constitution.
  • Republican and Democratic forms of government.
  • Secular character of the Constitution.
  • Separation of powers.
  • Federal character of the Constitution.
  • Unity and integrity of the nation.
  • Sovereignty.
  • The democratic character of our polity.Essential features of individual freedom that are secured to the citizens.

Conclusion

The Indian Constitution is the supreme law in India and from the aforementioned discussion, it is evident how this supreme law establishes the rule of law in India. It provides individuals with rights and also obliges them to perform certain duties. Certain rights are fundamental and enforceable in a writ court. Lastly, this article is just an attempt to highlight some of the most important articles of the Constitution in view of the author; however, every provision in the Constitution has its own importance.

References

  • Mahendra Pal Singh, V.N. Shukla’s Constitution of India (EBC, 13th ed. 2017)
  • Constitution of India (EBC, 47th ed. 2021)
  • M.P. Jain, Indian Constitutional Law (LexisNexis, 8th ed. 2017)
  • Mamta Rao, Constitutional Law (EBC, 2nd ed. 2021)

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Motor Accident Compensation Claims Tribunal : Future of resolution

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compensation

This article is written by Abhishek Arya pursuing a Diploma in Law Firm Practice: Research, Drafting, Briefing and Client Management. This article has been edited by Yashprada (Associate, Lawsikho) and Ruchika Mohapatra (Associate, Lawsikho).

This article has been published by Sneha Mahawar.

Introduction 

“We are approaching the new era with 21st-century technologies, 20th-century governing processes, and 19th-century governance structures.”

-Harold A. Limestone, Portland University

A total of 4,37,396 road accident cases were reported in India during 2019. According to a report, 1,54,000 people died in road accidents in 2019 alone. Further, there is no estimation of unreported cases. While road accidents are a major killer in our country, they affect the survivors in several ways, one of which is the process of making claims for compensation before the Court.

In this article, the author will be discussing the present mode of settlement of motor accident claims in India and how technological intervention via online mediation can make it efficient, accessible, and transparent.

For a better understanding let us take a hypothetical case. Mr. Bimal was walking on the road and was hit by Mr. Gangu, who was travelling in a car. The car was insured and Mr. Gangu was the owner and driver of the vehicle. As a result of the accident, Mr. Bimal was injured and had to be hospitalized for some time. Since Mr. Bimal was employed, he also suffered a loss of income. Now, Mr. Bimal wants to recover all his expenses and losses.

Current scenario: The Motor Accident Claims Tribunal (MACT)

First of all, Mr. Bimal or someone else would report the accident to the police. The police will then register a case and investigate to understand how it happened, where it occurred, who was at fault etc.

Suppose, post their investigation the police find out that Mr. Gangu was responsible. They file all the documents in the court and a criminal trial begins for prosecuting Mr. Gangu for his negligent driving. This trial is only for punishing Mr. Gangu for negligent driving and has nothing to do with the compensation claim.

Now, let’s come to the trial for claiming compensation.

Mr. Bimal approaches the police and collects all the relevant documents. He also approaches his employer and the doctor to get the salary certificate and relevant medical records respectively.

Then, he approaches a lawyer who drafts his petition for compensation and files it before the MACT and the trial begins. His lawyer, with the approval of MACT, sends the request to all the parties i.e. Mr. Gangu (owner and driver), the insurance company of the car, employer of Mr. Bimal, the doctor who treated him, any eyewitnesses of the accident, and others,  to appear before MACT and give their statements. They all appear and prove the facts of the case. The MACT ascertains the liability of the parties. Afterwards, the MACT decides the compensation and awards it to Mr. Bimal.

As per the procedural course of action, these cases can be finalized in 5-6 hearings (5-6 months) but generally, it takes more hearings and an average of 3 years to get it done. Let’s see what are the sticking points where delay occurs.

Sticking points

  • In antiquated systems, parties have to physically appear before the MACT to give evidence. This causes tremendous delay as the lawyer has to call every party on different days because of the paucity of time with MACT.
  • Procedural delays ingrained in the system.
  • Lawyers delay the case by adjourning the hearing on frivolous grounds.
  • General delay due to huge workload in the lower judiciary and poor technology adoption.
  • Delay in depositing compensation amount by the insurance company after the decision of MACT.
  • Interruptions in court hearings due to factors beyond control e.g. Pandemic.

Proposed alternate model for resolution

Mr. Bimal gathers all the relevant documents from the police, hospital, his employer, etc. to prove his case. He gets consultation from a lawyer and instead of approaching the MACT, approaches the insurance company with or without any legal help. The company conducts a private investigation to verify the facts of the accident (which is also being done these days) and refers the case to its in-house mediation department or an external independent mediation agency (private mediation agency) which then scrutinizes the authenticity of documents presented by Mr. Bimal. Documents can be authenticated through self-declaration (self-attested) or any other technological intervention. If the need arises, parties can be contacted directly.

After scrutiny, the mediation department or the external independent mediation agency decides the quantum of compensation after consultations with both the insurance company and Mr. Bimal and makes a recommendation to the insurance company and Mr. Bimal. If the recommendation is accepted by both the insurance company and Mr. Bimal, then good, if not, the case can be transferred to MACT to follow the traditional process.

This model can prevent the majority of motor accident compensation cases from reaching the ever exploding docket of courts, as in many cases facts are straight and all parties are traceable. The problem occurs in cases where any party is not traceable due to a fictitious address or where insurance or license is fake. Such cases are even a challenge for MACTs.

There is also an alternative in which the MACT itself refers the case to a Mediation agency or Online Dispute Centre. Such agency decides the dispute and refers the case back to MACT to pass an order for compensation. This idea has been developed by one senior advocate of the Supreme Court of India and requires further deliberation.

Benefits of this model

To victim

  • Cost-efficient justice delivery;
  • Timely settlement;
  • Opportunity cost can be saved;
  • Reduced mental agony.

To insurance company

  • Will save the cost of hiring lawyers at district courts;
  • Will prevent cases where the lawyer of the insurance company colludes with a lawyer of the victim;
  • Improvement in customer satisfaction.

To country

  • Decongesting lower judiciary;
  • Can reduce the need for spending on judicial infrastructure;
  • Improved legal health of people, psychological benefits;
  • Better access to justice;
  • More disposable income with people to spend productively.

Challenges

Structural challenges

  • Digital infrastructure, the problem of last-mile connectivity (help may be taken from Common Services Centre);
  • Digital literacy (even district court lawyers are not tech-savvy);
  • Digital divide which runs parallel to the class divide.

Behavioral challenges

  • Poor awareness about ADR mechanisms;
  • Lack of trust in non-government entities (given the current atmosphere for online mediation in the country, this problem may get resolved in the future);
  • Resistance from members of the bar- Fear is explained by behavioral economists as a ‘status quo’ bias, which is a preference for things as they are in the present;
  • Irrational Rejectionism- Dismissal of a system with which the critic has no direct personal experience. This bias is rooted in the fear of the unknown.

Operational challenges

  • Availability of qualified neutrals (this problem is being addressed e.g. making mediation a compulsory subject in law schools);
  • Enforcement of mediation outcomes;
  • Conflict of interest with insurance company appointing a mediation agency;
  • Data privacy and security.

Government’s Take

A question comes to mind – why is it that the government, despite being cognizant of issues regarding current judicial infrastructure, is not making necessary improvements. An understanding of the same is as follows:

  • In the present state of things where the judiciary is still some distance away from having a fully functional ODR capability, it will serve itself well if it can encourage disputants to attempt resolving disputes through private ODR platforms.
  • Proceedings of courts are governed by laws that were enacted way before the era of information technology. These laws need a significant overhaul to make them compatible with current technology. It is being done but in a piecemeal fashion. Also, a complete overhaul means major disruptions across the whole judicial functioning. It needs significant bandwidth to take such bold and disruptive decisions.
  • The government may think that it is prudent enough to promote ADR mechanisms in cases where it is easily implementable rather than burning resources for a system that needs significant repairs. This intention is indicated with the following examples:
  1.  New Delhi International Arbitration Centre Act passed in 2019;
  2. Amendments to Arbitration & Conciliation Act in 2019 & 2020;
  3. Draft Mediation Bill, 2021 (to be discussed in the current session of Parliament);
  4. ODR Handbook was released in April 2021 by top policy think tank NITI Aayog;
  5. ODR Policy Plan for India was released in November 2021 again by NITI Aayog;
  6. Bar Council of India making Mediation a compulsory subject in law schools.

Apart from the government, the judiciary is also getting vocal in its support of alternative dispute resolution mechanisms. Here is the judgment of the Supreme Court:

M.R. Krishna Murthy vs. New India Assurance Co. Ltd.

  • In this case, the Supreme Court directed the government to consider setting up a Motor Accidents Mediation Authority (MAMA) for speedy disposal of motor accident claims.
  • Regretfully, as per current knowledge, no such authority has been set up by the government to date. While the noble intentions of the apex court can’t be doubted, this judgment opens up the pandora box as it proposes to make pre-litigation mediation necessary. When the lower judiciary is significantly understaffed and there is a lack of training, education & awareness in mediation where would you find trained mediators to absorb all the workload diverted from MACT?

Conclusion 

There is a need for outcome-based thinking. People don’t want soldiers, they want security. People don’t want architects, they want durable, useful, and beautiful buildings. Similarly, they don’t want accountants, they only want their financial information to be sent to authorities in compliant form. In general, people don’t want professionals, they want their job done. And when such a job can be done reliably, efficiently, and cost-effectively, people will move to such alternatives. Through the present alternative model, an attempt can be made to provide people with such an alternative.

References


Students of Lawsikho courses regularly produce writing assignments and work on practical exercises as a part of their coursework and develop themselves in real-life practical skills.

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All you need to know about a Tripartite Agreement

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This article is authored by Nidhi Bajaj, of Guru Nanak Dev University, Amritsar, Punjab. The article provides an analysis of the tripartite agreement which is one of the most important legal documents involved in the home buying process.

Introduction

The term ‘tripartite’ means involving three parties or between three parties. In the real estate industry, a tripartite agreement refers to an agreement between the buyer, the seller, and the lender/financial institution in case the buyer takes a loan to buy a house in an under-construction project. 

A tripartite agreement is one of the most important legal documents involved in the home buying process. A plethora of questions may arise as to ‘What is a tripartite agreement?’, ‘Who are the parties to such an agreement?’, ‘What does the tripartite agreement include?’, ‘What are its advantages?’, and so on and so forth. This article will focus on answering all these questions, among others. 

What is a Tripartite Agreement

A tripartite agreement becomes necessary when a buyer opts for a loan to buy a house in an under-construction project. For example, if you have planned to purchase a property that is still under construction and for that purpose, you avail a home loan from a bank, then you(i.e. the buyer), the seller, and the bank shall enter into an agreement specifying the various terms and conditions of the transaction including the course to be taken in case of any contingency or default. Since there are three parties involved, the agreement is called a tripartite agreement.

A tripartite agreement sets out the terms and conditions of a property deal when a third party, namely a lender/financial institution is also involved. 

Parties to a Tripartite Agreement

A tripartite agreement is a legal document involving three parties: 

  1. The person willing to buy the property i.e. the buyer;
  2. The person willing to sell the property i.e. the seller, builder or developer; and 
  3. The institution granting the loan i.e. the bank/financial institution. 

Objective behind a Tripartite Agreement

  • Tripartite agreements assist the buyers with obtaining loans for properties against a planned purchase of a property. 
  • As the house is not in the name of the buyer until the possession, the developer is also made a party to the agreement. This protects the interests of the home buyers.
  • The tripartite agreement clarifies the status of all the parties involved in the real estate transaction.
  • The tripartite agreement also includes the legal process which defines how, when and to whom various agreements in the property are transferred between the parties. This is called subordination. For example, in case of death of buyer/borrower, the builder may have the first right to lien for what is rightfully owed to him, and then the bank would retain a lien on remaining assets. 
  • The agreement affirms that in case the borrower fails to pay back the loan, then the property will be transferred to the lender and the builder must accept the lender as the new owner.
  • The tripartite agreement seeks to avoid any future conflicts. 

Details to be included in a Tripartite Agreement

Who are the parties to the agreement?
What is the object of the agreement?
Particulars of the subject property 
Terms and conditions agreed upon
The agreement should include the perspective of the borrower/buyer, lender, the developer/seller/builder.
What are the rights and remedies of the parties under the agreement?
Legal implications
The obligations etc. of the parties
What is the selling price of the property?
Date of possession
The phases and progress of construction activity.
Interest rate as applicable.
EMI details and payment schedule.
The penalty if the booking is cancelled.
Common areas and amenities agreed upon.
Declaration by developer/seller/builder that the property has a clear title.
Declaration by the seller that he has not entered into any new agreement to sell the property to any other party
The liability of the builder to construct the property in accordance with the plans approved by the local authority should also be specified.
Original property documents are to be annexed.
The agreement should be properly stamped according to the law of the State in which the property is situated.

Cases/transactions where a Tripartite Agreement may be required

In case of the following circumstances or transactions, it will be useful for the parties to enter into a tripartite agreement:

  • At the time of selling the flat, that is a part of a registered society: In such a case, it becomes necessary for the buyer, seller, and society to enter into a tripartite agreement. It shows that society has no objection to the transfer of that flat.
  • When there is any charge or encumbrance on any property, such as a mortgage, in that case also a tripartite agreement may become necessary.

Tripartite Agreement in case of leased property

In the context of leased property, the tripartite agreement involves the following parties:

  1. The owner of the property,
  2. The lender, who has lent the property, and 
  3. The tenant, who occupies the property. 

The agreement says that in case the owner fails to pay the loan, then the lender shall become the new owner of the property and the tenant has no choice but to accept the lender as the new owner. However, it is pertinent to note that the new owner cannot change the terms of the lease.

What are the benefits of including a third party in the agreement

The inclusion of a third party who is indirectly related to the transaction in the tripartite agreement is beneficial in the following ways:

  • The third party cannot, later on, say that he was unaware of the transaction.
  • The legal heirs of the third party cannot challenge the transaction.
  • It convinces the bank about the genuineness of the transaction and therefore assists the buyer in securing a home loan for a planned purchase of the property.
  • It is likely that the borrower/buyer would not be willing to pay the builder/developer/seller unless the whole construction work is completed in accordance with agreed quality standards. However, the builder has to pay the subcontractors, the architects, the electricians, etc. There is thus, a risk that the buyer might not pay or refuse to pay due to any reason. In such circumstances, the builder must have a safety net in order to claim the costs and money that he owes to subcontractors, electricians. This safety net is provided by the tripartite agreement. In the event of non-payment, the builder can claim a construction lien on the property. 

Other uses of a Tripartite Agreement

new legal draft

A tripartite agreement may also include the architect, contractor, and designer within its scope. This is called a ‘no-fault arrangement’ wherein all the parties undertake to remedy their mistakes or omissions and agree not to hold any other party liable for any omissions or errors made in good faith. 

Advantages of a Tripartite Agreement

  • A tripartite agreement helps in applying for home loans.
  • It facilitates the lender/bank in doing the legal checks before investing in a property.
  • The agreement includes all the details of the transaction (mentioned above) and restricts the developer from entering into a purchase deal of the same property with another buyer.

Word of caution

A tripartite agreement involves three parties and focusses on protecting and balancing the interests of the buyer, builder and the lender. Since a lending institution is also involved in the agreement, the terms and conditions mentioned therein might be too complex for a buyer. Hence, it is recommended that you take help from a legal expert in this regard. This will ensure the protection of your interest as a buyer in case of any future disputes etc.

Sample Tripartite Agreement (important clauses)

TRIPARTITE AGREEMENT

This Tripartite Agreement (“Agreement”) is made and executed at the (Place) and on (Date),

BY AND BETWEEN

(1) The buyer, whose name, address and other details are mentioned in Schedule I hereunder (hereinafter referred to as the “Buyer”, which term shall, unless repugnant to the subject, context or meaning thereof, include its/his/her/their successor(s), heir(s) and permitted assign(s)) of the First Part;

AND

(2) The builder, whose name, address and other details are mentioned in Schedule I hereunder (hereinafter referred to as the “Builder”, which term shall, unless repugnant to the subject, context or meaning thereof, include its successor(s), heir(s) and permitted assigns) of the Second Part;

AND

(3) M/s. A & B Finance Limited, a company under the Companies Act, 2013, having its registered office at XYZ and having Corporate Identity Number: ……….. (hereinafter referred to as the “Lender”, which term shall, unless repugnant to the subject, context or meaning thereof, include its successors and assigns) of the Third Part.

Each party shall hereinafter be individually referred to as the “Party” and collectively as the “Parties‟. 

WHEREAS 

  1. The Builder is engaged in the business of developing real estate projects and is developing the project on the said land more particularly mentioned in Schedule II hereunder.
  2. On being satisfied with regard to the integrity and capability of the Builder for the timely completion of the Project, the buyer has entered into an agreement with the Builder (Builder-Buyer Agreement) for sale  of the unit/flat as described in Schedule II hereunder in favour of the Buyer at a total sale consideration mentioned in the Schedule I hereunder (“Sale Consideration”).
  3. The Buyer has approached the Lender for a loan up to the amount mentioned in Schedule I hereunder for the purpose of purchasing the flat. The lender has agreed to sanction the same subject to, inter alia, creation of first-ranking charge(s)/lien(s)/mortgage(s)/encumbrance(s) over the unit/flat (including all receivables therefrom/relating thereto) by the Buyer exclusively in favour of the Lender and on the terms and conditions mentioned in loan documents.

The parties agree as follows:

DISBURSEMENT OF LOAN

Subject to the provisions of this Agreement and the Loan Documents, the Parties agree that the Loan (subject to deductions, if any) may be disbursed in full or in such tranches as deemed fit by the Lender upon, inter alia, receipt of any intimation from the Builder to whom the Loan(or any part thereof) is to be disbursed on behalf of the Buyer towards the Sale Consideration of the unit/flat. 

OBLIGATIONS OF THE PARTIES

  1. The Buyer(s) undertake(s) to make payment of the buyer’s contribution (as specified in Schedule I hereunder) (which forms part of the Sale Consideration) directly to the Builder from the buyer’s own funds prior to disbursement of Loan or any part thereof by the Lender and shall provide satisfactory documentary evidence to the Lender in this regard. 
  2. The buyer undertakes sole liability to pay the sale consideration and any other amounts that may be there as per the provisions of the Builder-Buyer Agreement. The same shall not be the liability of the lender.
  3. The buyer shall not take possession of the flat without the written permission of the lender and the builder shall not offer possession of the flat to the buyer or his agents before the execution and registration of the sale deed in favour of the buyer.
  4. The buyer has created/shall create mortgage/charge/encumbrance/lien over the unit/flat (including all receivables therefrom/relating thereto) exclusively in favour of the Lender.
  5. The Builder has granted its consent for, and hereby acknowledge, such mortgage/charge/encumbrance/lien by the Buyer exclusively in favour of the Lender.
  6. The Builder hereby undertakes or confirms :
  1. All approvals, permissions and clearances pertaining to the Project and the land have been taken as per the law from the concerned authorities.
  2. The builder shall construct the property in accordance with the plan approved by the authorities.
  3. To complete the construction of the Project and deliver the possession of the flat as per the agreed timeline. 
  4. The builder shall from time to time provide the information relating to the progress of construction to the Lender.
  5. That there is no litigation pending with regard to the flat or land.
  6. That there is no lien/encumbrance/negative lien/charge/mortgage over the flat (except in favour of the Lender) and all approvals/no-objection certificates have been obtained by the Builder for sale of the flat and for creation of encumbrance/mortgage/charge/lien over the flat (including all receivables therefrom/relating thereto) by the Buyer in favour of the Lender. 
  7. All original documents relating to the flat (including allotment letter), the Builder-Buyer Agreement, sale deed or another similar/relevant deed, as the case may be, in favour of the  Buyer shall forthwith be handed over to the Lender only. The buyer also irrevocably authorises and agrees to such handing over.
  8. The Builder shall inform the Lender in writing at least a week in advance regarding the time, date and venue of registration of the sale deed in favour of the buyer. The Buyer shall ensure that applicable stamp duty and registration/statutory charges are paid on all such documents and the Buyer.
  9. The Buyer(s) and/or the Builder(s) undertake to the Lender that it/he/she/they shall promptly execute such additional documents as may be required by the Lender relating to the matters of this Agreement. 
  1. The Lender is entitled to instruct the Builder to cancel the allotment/sale in favour of the Buyer for any reason whatsoever including due to breach/default by the Buyer under this Agreement and/or the Loan Documents.
  2. The Buyer is entitled to cancel the allotment/sale of the flat/unit only with the prior written approval of the Lender.
  3. In case of cancellation of the allotment/sale in favour of the Buyer for any reason whatsoever, the Lender shall be entitled to, inter alia, instruct the Builder to allot/sell the flat/Unit in favour of any other person(s) of the Lender’s choice(“New Buyer”) and the Sale Consideration will remain the same (which shall be payable by the New Buyer to the Builder. 
  4. The Buyer undertakes to pay back the loan and all amounts payable to the Lender as per the provisions of the Loan Documents irrespective of, the stage of construction of the Project; any delay in handing over the possession;  cancellation of allotment/sale in favour of the Buyer for any reason whatsoever and any dispute/ difference between any of the Parties.
  5. The Lender is not and shall not be construed as a promoter or co-developer of the Project and/ or is not guaranteeing the construction or development of the Project/Unit or completion thereof in any manner. 
  6. The Builder shall solely be liable and responsible for the completion of construction and/or development of the Project/Unit.
  7. All the parties undertake to comply with all applicable laws with respect to the subject matter of this Agreement.
  8. In case of any default or breach by the builder under this agreement, the Builder shall forthwith indemnify the Lender.
  9. In case of any default or breach by the buyer under this agreement, the Buyer shall forthwith indemnify the Lender.

REPRESENTATIONS AND WARRANTIES

The Builder and the Buyer hereby make the following representations and warranties to the Lender: 

  1. that they have the power and authority to enter into this Agreement and the performance of the respective obligations mentioned in this Agreement do not and will not conflict with any applicable laws, rules or regulations. 

NOTICE

Any communication and/or document(s) to be made or delivered under or in connection with or pursuant to the Agreement and/or applicable laws shall be made or delivered, unless otherwise stated, by fax, email, and physical letter/document or in any other electronic/digital form.

GOVERNING LAW AND DISPUTE RESOLUTION

This Agreement shall be governed by laws of India and the courts at (Place) shall have exclusive jurisdiction relating to any matter/issue under or pursuant to the Agreement.

MISCELLANEOUS

  1. The Lender’s decision shall be final and binding with regard to any matter or thing not specifically covered under this Agreement. 
  2. Nothing in this Agreement shall adversely affect the provisions of the Loan Documents including the rights, claims, remedies and/or interests of the Lender.
  3. If, at any time, any provision of the Agreement is or becomes illegal, invalid or unenforceable in any respect under any law of any jurisdiction, neither the legality, validity or enforceability of the remaining provisions nor the legality, validity or enforceability of such provision under the law of any other jurisdiction will in any way be affected or impaired.

SCHEDULE I

  1. Date and Place of agreement
  2. Details of buyer
  3. Details of builder
  4. Builder-Buyer Agreement
  5. Sale Consideration
  6. Buyer’s Contribution
  7. Loan

SCHEDULE II

(Give a detailed description of the property/unit/flat)

WITNESS WHEREOF the Parties have signed this Agreement on the date mentioned hereinabove.

Buyer’s Signature……….

Builder’s Signature…….

Lender’s Signature…….

Note: The sample agreement provided above only covers the most important clauses and is not a detailed version of the tripartite agreement. 

Conclusion

If you are planning to take a housing loan for purchasing any under-development property, it will be beneficial for you to enter into a tripartite agreement. While the property is in the development phase, you will not acquire its ownership and for that reason, the builder/developer is made a party to the agreement. These agreements become particularly useful when funds are loaned for a property that has not yet been built and helps in avoiding any future conflicts that may arise out of conflicting claims, say, in the event of default of the buyer or in case of his death during construction.

References


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All about the doctrine of necessity

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This article is written by R Sai Gayatri pursuing BA.LLB from Post Graduate College of Law, Osmania University. This article deals with the doctrine of necessity, its definition, history, exceptions, its position in the Indian criminal law and its judicial approach. 

Introduction 

“Necessity knows no law.” – Aesop.

“Nemo in propria causa judex, esse debet” is a Latin maxim that states that no one should be made the judge in their own cause. It is one of the principles of natural justice. The aforesaid maxim also states that if an individual is provided with the authority and power of taking decisions then they must act in a fair and unbiased manner without prejudice.

For example, if John stole the valuables of Ron and later John himself is made the judge to decide whether he stole the valuables of Ron or not. Obviously, John will decide the case in his favour and prove himself innocent. This defeats the very purpose of justice, hence, the principles of natural justice exist to curb such scrupulous cases. The rule against bias is premised on the presumption that it is against human psychology to decide a case against one’s own interest.

Partiality or bias basically refers to any element which influences an individual to decide in favour or against their own apprehensions regarding the situation of the case. Thus, the case at hand is not solely decided upon the basis of evidence. The principles of natural justice thus include the rule against bias. The said rule eliminates those elements which influence a judge unfairly when taking a decision in a particular case. However, the doctrine of necessity is considered to be an exception to the rule against bias. Let us understand more about the doctrine of necessity through this article.

Understanding the doctrine of necessity

The principles of natural justice are the most basic legal parameters that are considered whenever a court of law is to arrive at a decision. However, when it comes to one of the principles of natural justice i.e., the rule against bias, there exists an exception and that is the doctrine of necessity. The doctrine of necessity enables the legal authorities to function in the following manner – 

  • To take certain actions that must be taken at a particular moment, wherein such acts would not otherwise be regarded within the scope of the law in a general legal situation.
  • To invoke and apply the doctrine of necessity only in such circumstances where there is an absence of a determining authority to take the decision regarding a case.

In a situation where an option is given to either let a person act in a biased manner regarding a matter or to quash the matter itself, the preference will be given to taking action in a biased manner, even though the decision might be affected by the bias of the deciding authority. In cases similar to the aforementioned situation, the rule against bias is defeated by the rule of necessity. The only condition here is that such deciding authority must mandatorily conclude the matter at hand.

History of the doctrine of necessity

The doctrine of necessity has its roots in the writings of Henry de Bracton, a medieval jurist. He stated that “that which is otherwise not lawful is made lawful by necessity”. Later, the controversial case of Federation of Pakistan v. Maulvi Tamizuddin Khan (1955) came up before the judiciary of Pakistan.

In this case, the Chief Justice of Pakistan i.e., Muhammad Munir legally validated the extra-constitutional use of emergency powers by Governor-General, Ghulam Mohammad. Further, the then Chief Justice of Pakistan referred to the aforementioned maxim of Henry de Bracton thus implementing the doctrine of necessity. The case of Federation of Pakistan v Maulvi Tamizuddin Khan (1955) paved the way for the use of the doctrine of necessity by various other Commonwealth countries. But, the condition in the application of this doctrine is that even by the use of bias, justice must not only be done but it must appear to have been done. Therefore, the doctrine of necessity is an exception to the principle of nemo judex in causa sua.

When it comes to the case of India, the landmark case of Gullapalli Nageswara Rao v. APSRTC (1958) is known for invoking the doctrine of necessity. The said doctrine was later modified into the Doctrine of Absolute Necessity through the case of Election Commission of India v. Dr. Subramaniam Swamy (1996) wherein it was held by the court that the doctrine of necessity shall only be invoked in the cases of absolute necessity.

Exceptions to the doctrine of necessity

new legal draft

The doctrine of necessity shields the adjudicators from bias. However, the said doctrine does not give the license to use the excuse of bias in deciding every case. This means that the doctrine of necessity disqualifies such adjudicators who resort to bias while arriving at decisions. But, there are certain exceptions wherein such biased decisions given by the adjudicator are held valid. The exceptions are as follows –

  • There is no availability of another competent person for arbitration. 
  • In the absence of whom (the adjudicator) a quorum cannot be formed.
  • There is no possibility of establishing another competent tribunal.

In case the doctrine of necessity is invoked in every legal matter then there is a high possibility that it would be in favour of the defaulting party. Simultaneously, if the doctrine of necessity is totally abandoned then it would terminate the decision thereby not providing any justice at all to either of the parties.

Before invoking the doctrine of necessity it is pertinent to critically analyse whether the said doctrine really needs to be invoked or not to arrive at a decision. This strengthens and improves the decision making power. The doctrine of necessity enables parties to challenge and question the administrative actions in court. But while deciding the validity of an administrative action it must be noted that unless the predetermined concepts are capable enough of influencing the bias of the judge in their mind, such administrative action cannot be held invalid.

Doctrine of necessity under the Indian Penal Code, 1860

The doctrine of necessity can be found in Indian criminal law. Chapter IV of the Indian Penal Code, 1860 contains the provisions of ‘General Exceptions’ under Sections 76 to 106. If an individual commits any of the offences under the exceptions or circumstances as stated in Chapter-IV, then such individual is exempted from criminal liability. The individual will not face any punishment. The doctrine of necessity is also included in such general exceptions under Section 81 of the IPC.

Section 81 of the IPC talks about such acts which are likely to cause harm but where such acts are done without any criminal intent to cause harm. Such an act must also be done in good faith in order to avoid or prevent any kind of further harm to an individual or any property. However, the risk of doing such an act will be weighed against the nature and need of each situation.

In the case of preventing a harmful situation, an individual is given two options that result in some harm either way. In such a situation, to avoid or prevent greater harm, an individual due to utter necessity is compelled to commit an act that would otherwise be considered as an offence. In simple terms, the individual is required to choose between two evils and they must rightly choose the less evil option in order for the doctrine of necessity to apply.

Judicial approach towards the doctrine of necessity

Regina v. Dudley and Stephens (1884)

In this case, Thomas Dudley and Edwin Stephens were the defendants. The said defendants and a cabin boy named Richard Parker were cast adrift in a boat without food and water due to a shipwreck. Later, on the eighteenth day, when the three of them had been without food for seven days and without water for five days, Dudley proposed to Stephen that one should be put to death to save the rest. Accordingly, they decided that it would be better to kill Parker so that they could save their own lives. On the twentieth day, both Dudley and Stephens killed Parker and fed on his flesh for four days. Later, a vessel rescued them and they were charged with committing the murder of Richard Parker.

It was held by the Court that killing an innocent person in order to save one’s own life does not justify murder even though it was committed under the extreme necessity of hunger. Subsequently, the defendants were sentenced to death, however, it was later reduced to six months imprisonment.

United States v. Holmes (1842)

In this case, an American vessel by the name ‘William Brown’ containing 65 passengers and 17 crew members hit an iceberg and sank rapidly. As a result, the longboat was cast adrift in the stormy sea. In order to prevent the boat from being sunk, the members of the crew threw some of the passengers overboard. Later, when a case came up for the trial of one of the crew members, the court held that such situations of necessity may be considered a defence against the charge of criminal homicide. However, the court stated that those who are sacrificed must be fairly selected depending on the group of people present.

Rex v. Bourne (1938)

In this case, a 14-year-old young girl became pregnant because she was raped by five soldiers. The defendant was a gynaecologist. He performed an abortion with the consent of the girl’s parents since he believed that the rape victim could die if she was permitted to give birth. After hearing the facts of the case, the court held the defendant as not guilty of the offence of unlawfully procuring a miscarriage. The defendant was found not guilty because he acted in good faith by performing his duty as a gynaecologist.

Tata Cellular v. the Union of India (1994)

In this case, the Government of India issued invitations to all the mobile operators to establish their networks in the four metro cities i.e., Chennai, Bombay, Calcutta and Delhi. The Evaluation Committee was supposed to peruse and evaluate the tenders under the Telecom Regulatory Authority of India (TRAI), which had a Director-General of Telecommunication in it. The tender of the Director-General’s son was selected at the end of the evaluation procedure. In this case, the Supreme Court did not approve the violation of ‘Nemo judex in causa sua’ as without the Director-General of Communication no tender can be selected and fair evaluation cannot be done. There was no option of substitution and thus the decision was not liable to be struck down. In this case, the Supreme Court applied the doctrine of necessity liberally.

Election Commission of India v. Dr. Subramaniam Swamy (1996)

In this case, it was held that if the Chief Election Commission entails a possibility of bias then their participation is not mandatory and likewise the doctrine of necessity will not be applicable. However, a proper course for them was laid down wherein they could call for a meeting and withdraw from the meeting thereby leaving it to the other members of the commission to make a decision. Only in the cases where there is a conflict between them, the doctrine of necessity will be applied. Therefore, in this case, the doctrine of necessity was changed into the doctrine of absolute necessity which in turn established that the said doctrine can only be invoked in cases of absolute necessity.

Conclusion

The doctrine of necessity is an exception to the principle of ‘Nemo judex in causa sua’. According to the said principle, on the basis of bias, an authority is liable to be disqualified. When the doctrine of necessity is invoked, it acts as a defence even when the law is violated making the decision unbiased and valid. However, the said doctrine can only be invoked in certain situations wherein if the doctrine is not invoked, then it would lead to the total termination of the matter thereby causing greater harm. Further, the said doctrine cannot be applied in every case, i.e., the Hon’ble Supreme Court stated that the said doctrine can only be invoked in case of absolute necessity.

References


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Most famous and controversial criminal cases in India

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The article is written by Ansruta Debnath, a law student of National Law University Odisha. This article briefs various famous and controversial criminal cases in India. 

This article has been published by Sneha Mahawar.

Introduction

Criminal cases that reach widespread fame generally have a scandalous element in them. On the other hand, some cases are just bizarre while others so horrific, people remain shocked for decades to come. This article enumerates certain famous and hotly debated criminal cases of the country. While this is not an exhaustive list, this author has attempted to include cases that highlight certain important aspects of the nature of the criminal law of India. Thus cases have been included from a wide range of crimes, from the most gruesome murders to shocking rapes, bizarre identity crimes, scandalous scams and even the killing of ‘ghosts’.  

Murder and killings

The Tarakeswar affair (1874)

This case, the oldest in this article, involved a public scandal that occurred in 19th century Bengal during British rule. The case was called Queen v. Nobin Chandra Banerjee (1874) and here Nobin Chandra, a government servant was charged with the murder by decapitation of Elokeshi, his wife because of her love affair with the Brahmin head priest, or Mahant of the temple of Tarakeshwar. The Hooghly Sessions Court at Serampore took up the case and during the entire trial, the Court had transformed into a ‘theatre’. The media also contributed heavily to the increasing publicity of the case.

The defence attorney claimed that Nobin Chandra had committed the act in a fit of rage and to ensure that his wife had to belong to him. It was claimed that when Elokeshi confessed about her actions to the defendant, Nobin wanted to protect her and shift her from her parent’s house, over which the Priest had control. But the latter became aware of these plans and his goons prevented the shift from happening, leading to Nobin Chandra killing his wife. Nobin then immediately went to the Police to confess his crimes.

The entire series of events painted Nobin as the victim. The jury eventually acquitted the defendant on the grounds of insanity. But the Sessions judge overturned the judgement on the ground of “disagreement on the native sense of justice”  and sent the case to the Calcutta High Court wherein the defendant was held guilty.

However, Nobin was not the only person under trial. For the general public, Nobin was justified in his actions and the Mahant was the one that was the actual criminal. The Mahant was tried under Section 497 of the newly passed Indian Penal Code, 1860 and the Sessions Judge convicted the priest and imposed a punishment of three years’ rigorous imprisonment and a fine of Rupees 2,000. On appeal, the conviction was upheld. The public felt that Nobin Chandra was unjustly convicted while the Mahant had gotten away easily. Within three years, due to popular public demand and protests, Nobin Chandra was released from prison.

The murder of ghosts – Ram Bahadur Thapa (1959) 

This was a very peculiar case, called State of Orissa v. Ram Bahadur Thapa (1959). J.B. Chatterjee of the Chatterjee Bros. firm in Calcutta employed Ram Bahadur Thapa as a servant. They had gone to Rasgovindpur, a village in Orissa’s Balasore district, to buy scrap from an abandoned airport outside of town. The local people considered that area haunted and the same was made known to the visitors. As they drove to the aerodrome late at night, they noticed a flickering light within the premises that seemed to move because of the strong winds. Thapa leapt into action, brandishing his khukri in the direction of the ‘ghosts.’ They turned out to be indigenous Adivasi ladies with a hurricane light who had congregated under a mahua tree to gather flowers. Thapa injured two women and killed another and thus was charged with Section 302 (murder), Section 326 (grievous hurt with dangerous weapons) and Section 324 (hurt with dangerous weapons) of the Penal Code. The Sessions Judge held that the accused committed the acts under a bona fide mistake of fact, thinking that he was attacking ghosts and not human beings and hence acquitted him relying on Section 79, which talks about acts justified by law or acts which under a mistake of fact is thought to be justified by law. The petitioners challenged this through an appeal to the Supreme Court saying that through extra care and caution, this event could have been averted. But the Court dismissed these arguments and said that Ram Bahadur Thapa had to be accorded the protection of Section 79.

The Nanavati murder case (1959)

This case, K.M. Nanavati v. the State of Maharashtra (1961) is one of the landmark cases in Indian history and marked the end of jury trials in India. K.M. Nanavati was a respected naval officer who killed his wife’s extra-marital lover, Ahuja in 1959. Nanavati, after committing the crime went to the local police and turned himself in. The main point of contention was whether the action of Nanavati was due to grave provocation or it was a pre-mediated murder. The petitioners contended that during a confrontation of Nanavati with Ahuja, the latter stated that he “could not marry every woman he slept with”, which led to Nanavati killing Ahuja. Their arguments were based on the fact that Nanavati committed the murder in the heat of the moment and thus it was a case of culpable homicide, not amounting to murder. (Exception 1 under Section 300). The Respondents contended that Nanavati had, after listening to his wife’s confession, dropped her and their children off to the cinema, gone to his ship to procure a rifle and then gone to visit Ahuja. It was contended that it was clearly implied that Nanavati had the intention to murder Ahuja and there was no sudden provocation. 

The jury of the trial court declared K.M. Nanavati was found not guilty with an 8:1 majority verdict. The verdict, like the Tarakeswar case, reflected the popular sentiment that sympathised with Nanavati. But the Session’s judge overturned the verdict and sent it to the High Court of Bombay wherein the Court held the accused guilty of murder under Section 302 of the Penal Code and sentenced him to life imprisonment. On appeal, the Supreme Court upheld the High Court judgment, saying that Nanavati had plenty of time to calm down and thus it was a case of premeditated murder. However, he was granted parole on grounds of ill health in 1963 and then later pardoned by the Governor of Bombay. The higher judiciary, purely on the touchstone of law, found Nanavati guilty. But beyond the realm of law is the world of morality; was Nanavati morally right in killing a man who had destroyed his marriage and family? The public opinion felt that Nanavati had been wronged, so did the jury, but not the law.

The contract killing of Mrs Vidya Jain (1967)

The case of Narendra Singh Jain is linked to the infamous contract killing of Mrs Vidya Jain in 1973. In this case, the defendant was Dr. N.S. Jain, the personal eye physician of the then-Indian President V.V. Giri, who conspired with his paramour, Chandresh, to hire two persons to murder his forty-five-year-old wife. 

The case involved several failed attempts to kill Mrs. Jain by engagement with various assassins, but the plan eventually got executed on 4 December 1967. The trial court charged all the accused under Section 120-B of the Penal Code for having entered into a conspiracy to commit the murder of Vidya Jain and under Section 320 for her murder. Some of the accused were also charged with Section 27 of the Arms Act, 1959

Conspiracy comes into being the moment the agreement to commit the crucial act is reached, and it does not cease to exist so long as the intention of acting upon the agreement exists. When Chandresh and Rakesh (friend of Chandresh) went to hire Karan Singh as an assassin, the criminal conspiracy had come into existence and did not cease when the latter refused to execute what was assigned to him. The duo then engaged with another assassin who also refused, and the conspiracy continued. Finally, the inclusion of the final two assassins was also part of the criminal conspiracy. 

The crucial point of contention was the gravity of crimes of all the involved parties i.e., who should be more responsible for the crime of murder. The trial court had sentenced the accused to life imprisonment but on appeal, the High Court, in N.S. Jain v. the State (1977) increased the punishment of the two contract killers to death by hanging.

Tandoor murders (1995)

The Hotel Ashok Yatri Niwas of Delhi became the site of the very gruesome murder of a woman. The accused, hotel manager Keshav Kumar and co-owner of the hotel, Shushil Sharma was discovered to be stoking a fire in the kitchen tandoor with wood on that fateful night of 2 July 1995 by two police officers. Detecting a foul odour, the officers douse the flames and discovered that the tandoor was stuffed with partially burnt human remains, a torso and burnt bones. A black polythene sheet nearby bore traces of blood. The body was revealed to be of Naina Sahni, wife of Shushil Sharma. While Kumar was immediately caught by the police, Sharma fled and was later arrested by the Bangalore police and handed over to the Delhi authorities. The use of the tandoor to attempt to cover up the murder is what truly horrified people and made this become a case people could not stop talking about. Not many people remember that the tandoor was not the weapon of the murder, that Naina had been shot to death and the tandoor was only used to destroy the body. 

The trial was held in the sessions court in Delhi, in 2003 where Sharma pleaded that due to the media furore and the misdirected public hatred he would be subjected to an unfair and unjust trial. Therefore, he claimed, he should either be discharged or the trial be postponed but the same was not granted. Capital punishment was awarded to Sharma, placing the case in the ‘rarest of rare’ category, warranting the imposition of extreme punishment by the trial court. In State v. Sushil Sharma (2007), the Delhi High Court admitted an appeal filed by Sushil Sharma, challenging his conviction and death sentence by the trial court. However, the High Court rejected these assertions and upheld the verdict of the trial court in this case. The Supreme Court, on the other hand, while reaching the conclusion that the accused were indeed liable to be convicted for committing the heinous crime of murder and brutally disposing of the body of the accused, said that the action of Sharma was the result of a strained individual relationship and not an offence against society. Thus, the Supreme Court in Sushil Sharma v. State (NCT) Of Delhi (2013) commuted capital punishment to life imprisonment, while also taking into account certain mitigating factors like the accused previous criminal record and the age of the accused.

The murder of Neeraj Grover (2008)

Neeraj Grover was a media executive. Maria Monica Susairaj was a Kannada actress who wanted to work in the TV industry. When she moved to Mumbai, Maria befriended Grover and they soon entered into an intimate relationship. However, Maria started having doubts about whether Grover was serious about aiding her career. The prosecution alleged that the plan to kill Grover was hatched on 6 May 2008, when Maria contacted Emile Jerome Joseph, her fiancé. On 7 May 2008, both Maria and Joseph killed Grover and chopped up his body. Later, Maria confessed to her crimes and led the police to the place where the body parts were burned. She also stated that Joseph had forced her to commit the act with him with the threat of rape. Later, the confessional statement was retracted by Maria. According to the Court’s analysis of Maria’s confession, it was concluded that only Joseph was responsible for the murder of the victim.

After considering the evidence, the Court held the accused guilty of both causing disappearance and destruction of evidence. The prosecution proved that Joseph killed the victim but the defendant pleaded the first exception to murder, i.e., culpable homicide due to the grave and sudden provocation. The Court ruled out premeditation on the part of Joseph and maintained that he was under provocation. Both of the accused were charged under Section 201 for causing the disappearance of evidence, with a maximum penalty of three years. Joseph was charged under Section 304 (1) of the IPC for culpable homicide not amounting to murder and was given ten years’ rigorous imprisonment as well as a fine of Rs 50,000. Maria was convicted under Section 201 of the IPC for the destruction of evidence and was given three years’ rigorous imprisonment and a fine of Rs 50,000. Joseph was also convicted under the same offence and given the same punishment, for which his sentence would run concurrently.

D.K. Basu and custodial deaths

Shri D.K. Basu, Ashok K. Johri v. State of West Bengal, State Of U.P. (1996) was a landmark judgement that elaborated on custodial deaths. The initial party to the case was West Bengal and D.K. Basu. D.K. Basu was the Executive Chairman of Legal Aid Services of West Bengal. Basu wrote a letter to the Chief Justice of India enumerating certain news articles in newspapers that have spoken about custodial deaths and instances of custodial torture. The letter emphasized the need to draw up guidelines that an arresting authority must follow while remanding a person to custody and to draw up victim compensation schemes in those scenarios of custodial death and torture. Because the issue that was mentioned in the letter was of gravity, the letter was considered to be a writ petition and accordingly proceedings were initiated. Later, Shri Ashok K. Johri wrote a similar letter to the Chief Justice about a custodial death in Uttar Pradesh and accordingly that letter was also considered to be a writ petition and the two were clubbed together. The state governments in their reply stated that custodial deaths were taken into consideration and appropriate actions were taken against the concerned individual. Further, the Supreme Court solicited the Law Commission to deliver an official report on this issue and accordingly the 113th report on “Injuries in Police Custody” was released. 

In the judgement, the Supreme Court reiterated that any type of torture or cruel, inhuman, or humiliating treatment, whether it occurs during an investigation, interrogation, or otherwise, is covered by Article 21. The rights protected by Article 21 cannot be denied to undertrials, convicts, detainees, and other detainees in custody unless they are refused in accordance with the method established by law, which may include reasonable restrictions on the right. 

The primary achievement of this judgement was that the Court gave out certain specific guidelines that had to be followed while making arrests. These included the need for arresting or interrogating officers to bear accurate, visible and clear identification and name tags with their designations and allowing one relative of the arrested person to be informed about the arrest and place of detention.

Cases where children were the victim

Renuka Shinde and Seema Gavit : Child Killers (1990-1996)

In Maharashtra, a woman named Anjanabai, the matriarch of her family, taught and encouraged her family to murder and abuse young children for money. The entire episode came to light when her two daughters, twenty-nine-year-old Renuka Kiran Shinde, twenty-five-year-old Seema Mohan Gavit along with Renuka’s husband, Kiran Shinde, were arrested in 1996. The three, along with Anjanabai, were accused of abducting and killing children, particularly those less than five years of age. Although they were accused of abducting thirteen children between 1990–96 and killing nine of them, they were eventually charged with only five murders.

The sisters had managed to kidnap children from many major cities in Maharashtra and would keep these children in Pune at their residence. The modus operandi of the sisters was easy: they would keep the child with them, often preferring to physically carry them while they went about their business of snatching purses and petty thievery. The children were murdered when they attracted any attention or cried, or became too old to be carried in their arms. The sisters often committed the murder of these children in the most gruesome and cruel ways which included banging the head of the child to a wall until it died. The Supreme Court while ordering the death penalty for the accused observed that the decision had been reached after carefully considering the fact that the accused were a menace to society and that there was no chance of them being reformed. 

The mercy petitions of the sisters were rejected by the President on 31 July 2014. However, in January 2022, the Bombay High Court commuted their death sentence to life imprisonment on account of the state’s delay in seeking a decision on their mercy petitions after the Supreme Court rejected their appeal in 2006.

The Billa – Ranga Case (1978)

The main aim of Billa and Ranga, two hardened criminals who had just been released from Arthur Road Jail in Mumbai on the day the crime occurred, was to capture kids that they happened to come across and demand ransom from their parents. The unfortunate in this situation were two teenagers, Geeta and Sanjay Chopra who happened to come across their vehicle, a yellow Fiat and entered it to take a lift to the AIR office where they were to participate in a programme. Certain people realised there was a problem as the car sped away because the teenage duo had themselves realised the nefarious intentions of Billa and Ranga and had started fighting in the car and screaming from within. A police report was attempted to be made by one concerned citizen but the police refused to take the report citing jurisdictional issues.

At the same time, Billa and Ranga realised that the teenager’s family would not be able to afford the ransom they had in mind and immediately killed the two. The parents came to know that their children were missing when they did not hear them on the radio in that programme the children were supposed to be in. An FIR was filed and subsequently, the bodies were discovered, making the case a murder case. 

Due to extensive media coverage, the murderers were soon captured and upon investigation, it was found that after Sanjay was killed, Geeta was stripped naked, raped and then killed. The High Court observed that the accused had a diabolical plan of a cold-blooded, ruthless, cruel murder of two young innocent teenagers and deserved no mercy. Thus the death penalty was awarded and the Supreme Court also upheld the verdict. 

A major point of the case was the courage shown by the teenagers as witnesses said that they put up a big fight and as a result, Billa had to receive stitches from a hospital. The Indian government bestowed the Kirti Chakra gallantry award on Geeta and Sanjay Chopra on 5 April 1981. In 1978, the Indian Council for Child Welfare instituted two annual bravery awards for children under the age of sixteen, the Sanjay Chopra Award and the Geeta Chopra Award, given each year along with the National Bravery Award. Yet the point remains that had the police gotten into prompt action, this murder could have been prevented.

Cases that triggered changes in Indian rape laws

The rape of Mathura (1972)

The Mathura rape case was an instance of custodial rape that occurred in the March of 1972 when a tribal girl was allegedly raped by two policemen on the compound of Desaiganj Police Station in the Gadchiroli district of Maharashtra. 

The case first came to the sessions court in 1974 where it held that because Mathura was “habituated to sexual intercourse”, her consent was voluntary and thus there was sexual intercourse but not rape. The Nagpur bench of the Bombay High Court on appeal held that there was rape and sentenced the two policemen to one and five years of imprisonment. The Court observed submission to rape under threat or fear is not a valid form of consent.

But the Supreme Court, in Tuka Ram And Anr v State Of Maharashtra (1978), overturned that judgement and acquitted the accused. Due to widespread protests, the Government of India eventually brought about the Criminal Law Amendment Act, 1983 which made a statutory provision in the face of Section 114 (A) of the Indian Evidence Act of 1872. It states that if the victim says that she did not consent to the sexual intercourse, the Court shall presume that she did not consent as a rebuttable presumption.

Bhanwari Devi rape case (1992)

Bhanwari Devi was an Indian social worker from Rajasthan who was gang-raped in 1992 by men who were enraged by her efforts to prevent their family from having a child marriage. Her subsequent treatment by the police and the accused’s subsequent acquittal in court drew enormous national and international attention, and it became a watershed moment in India’s women’s rights movement.

In 1995, the Session’s Court acquitted the accused stating that because the husband of Devi was nearby, rape could not have happened. But, upon pressure from various groups, the Rajasthan State Government appealed the decision in the High Court but because two of the accused were already dead, only one hearing took place.

This case was important because after being inspired by Devi, a number of women’s organizations led by one called Vishaka filed a Public Interest Litigation in the Supreme Court against the State of Rajasthan and the Union of India through Vishaka & Ors v. State Of Rajasthan & Ors. (1997) This led to the formation of the Vishakha guidelines which dealt with sexual harassment in the workplace.

The Nirbhaya gang-rape (2012)

This is a case that sparked widespread protests and triggered changes in major rape laws in India. The gruesome and horrifying gang rape of Jyoti Singh also called Nirbhaya or the Unafraid, brought the entire youth of India to the streets. Instead of victim shaming, the people of India screamed her name as it had become a source of strength in the face of the fear of the unsafe nature of the Delhi streets. Women and the youth week seemed to have enough and were poised to fight for their rights. After a long legal battle, the accused were finally hanged in the Tihar Jail in the March of 2020.

The changes made in the rape law were substantial. A committee was set up under a former judge of the Supreme Court, J.S. Verma to suggest amendments in the criminal law. The report found that crimes against women were directly linked to failures of the government and the police. The major suggestions of the report were to make rape punishable by life sentence instead of death as it had been seen that the death sentence did not act as a deterrent and cleared ambiguity over the control of the Delhi police in such cases. The committee, however, did not favour setting the official age of a juvenile at sixteen rather than eighteen.

For starters, through the Criminal Law Amendment Act, 2013 the definition of rape was changed in Section 375 to include the insertion of any object in the vagina or rectum of a woman.  Further, The punishment for rape is seven years at the least and may extend up to life imprisonment (Section 376). Any man, be it a police officer, medical officer, army personnel, jail officer, public officer or public servant, who commits rape may be imprisoned for at least ten years (Section 376). A punishment of life imprisonment, extending to death, was prescribed for situations wherein the rape concludes with the death of the victim, or the victim being in a vegetative state (Section 376-A). Gang rape has been prescribed punishment of at least twenty years under the newly amended sections (Section 376-D). The new amendment also defined ‘consent’ to mean an unequivocal agreement to engage in a particular sexual act; clarifying further that the absence of resistance will not imply consent. 

Bizzare identity crimes

Lal Bihari identity case (1975-1994)

Lal Bihari was born in 1955, died between 1975 and 1994, and has been an activist since then. His uncle bribed government officials to declare him dead so that he might receive their ancestral land, and Mr Lal Bihari was officially declared dead. He began his battle against the Indian bureaucracy to establish that he was still alive after he discovered what had happened. Meanwhile, he staged a sham burial, demanded widow’s pay for his wife, ran against Rajiv Gandhi in the 1989 election, and even added a ‘Mritak’ to his name. He is currently the director of an organisation that seeks to deal with similar identity situations for others who have lost theirs.

Bhawal Case (1920-1946)

This was a strange case centred on a probable impostor claiming to be the prince of the Bhawal Estate, which included over 2000 villages and was one of the largest zamindari estates in undivided Bengal. Ramendra, the Bhawal estate’s second Kumar, died in the early twentieth century, although there were rumours that he wasn’t truly dead. A sanyasi who resembled Ramendra was discovered strolling the streets of Dhaka ten years later, in 1921. Former tenants and farmers of Ramendra vouched for him and supported his claim to the title for some reason. Except for Ramendra’s widow, Bibhabati, almost everyone believed him.

A long legal battle ensued but the new Ramendra shifted to Calcutta and was hailed as the actual one by the city elites. Further, he started using revenues from his estate. In 1946 the Court ruled in his favour, but he passed away shortly after.

Criminal defamation

Personal opinion or defamation: the Khusboo case (2010)

The events that led to the lawsuit began in September 2005, when India Today magazine conducted a poll on the sexual habits of people living in India’s major cities. One of the topics explored was premarital sex and opinions from many social groups were gathered. Khushboo, a south Indian actress, expressed her opinion on the subject, stating that the occurrence of premarital sex was becoming more common. She later vehemently defended her statement and as a result twenty-one criminal complaints under Sections 499, 500, 509, 153-A and 292 of the IPC, read with Sections 4 and 6 of the Indecent Representation of Women (Prohibition) Act, 1986, in various separate jurisdictions were filed. 

To get respite from this constant prosecution, she approached the High Court of Madras to quash these complaints. Despite clear indications that this was a matter of political victimization, the High Court refused to step in and directed the chief judicial magistrate to combine all the complaints. Kushboo’s lawyers then went to the Supreme Court to quash the complaints, who in S. Khushboo v. Kanniammal & Anr (2010) held that her statements were not defamatory under Section 499 of the Penal Code. Khushboo did not mean to hurt the complainants’ reputation, and no genuine harm could be determined from her words, according to the Court. She wasn’t implying that all Tamil Nadu women participate in premarital sex; rather, she was addressing how premarital sex was perceived in society at the time.

The uproar surrounding comments made on the subject of premarital sex has raised serious concerns about our ability to tolerate viewpoints that differ from those held by the majority. A simple reference to the rising prevalence of premarital sex and the appeal for societal acceptance was challenged because it was outside the scope of free speech protection.

Scandalous scams 

Collapse of Kingfisher 

Vijay Mallaya was an Indian business tycoon who had to abscond to the United Kingdom after being accused of fraud and money laundering in the country. Mallya fled the country and sought sanctuary in the United Kingdom in 2016. Vijay Mallya is said to owe around Rs 9000 crores to multiple banks, which he took out as a loan to save his now-defunct Kingfisher Airlines from going bankrupt. Mallya’s desire to develop his liquor and airline businesses sparked the whole thing. His advisers advised him against it, but he went ahead and did it anyway. To fund the newly created Kingfisher Airlines, he sold another company founded by his father.

Vijay Mallya’s Kingfisher quickly established itself as one of India’s best domestic airlines, and many Indians’ first choice for flying. But, the Indian government refused to allow Kingfisher to conduct foreign flights due to specific constraints. To travel internationally, he used United Spirits or United Breweries, his parent business, to purchase Deccan Air, which was losing a lot of money at the time. He intended to merge with Deccan, but he was unable to make a profit for Kingfisher even by 2010. Hence started the loans.

The Harsha Mehta scam

Any article on controversial crimes would be incomplete without India’s biggest cases of scams. Harshad Mehta was a stockbroker who was one of the primary stock manipulators of the Bombay Stock Exchange, commonly known as the 1992 Indian stock market scam. When the scam came to light, the entire stock market collapsed. The securities scandal involved the transfer of Rs 3,500 crore in bank cash to a gang of stockbrokers led by Harshad Mehta. This money was subsequently invested strategically in the stock market, enabling it to soar to almost 4,500 points. Mehta came to be known as the ‘Big Bull’ and gullible investors followed his lead.  Sucheta Dalal, an experienced journalist, was the first to uncover it in April 1992.

Harshad Mehta owed the State Bank of India Rs. 500 crores after it discovered it was hanging onto worthless bank receipts. By the end of April 1992, he was accused of diverting money from the public sector company, Maruti Udyog Limited (MUL) to his accounts. A full-fledged committee, the Janakiraman Committee, was established by the RBI to probe into the details of the scam. Mehta was convicted by both the Bombay High Court and the Supreme Court and charged with 74 criminal offences. His legal battles dragged on until 2001 when he passed away in jail from a cardiac arrest. 

2G Spectrum case

This was an Indian case of abuse of power and even featured second in Time Magazine’s “Top Ten Abuses of Power”. This case involved allegations of bribery against former telecom minister of India, A. Raja of the UPA government. It was alleged that Raja had allotted airwaves and licences for telephone networks in exchange for bribes, causing financial losses up to Rs 1.76 lakh crore to the Indian national exchequer. Further, a proper auction was not conducted as was the norm in these situations. The Supreme Court cancelled 122 2G licences but the Special CBI Court acquitted the accused in 2017. The Court stated that the prosecution had “miserably failed” to establish evidence against the accused. The arguments in the case of an appeal against the CBI Court decision are ongoing in the Delhi High Court.

Coalgate scam

Another huge scam that sent shockwaves around the country during the UPA government was the ‘Coalgate’ or ‘Coal block allocation scandal’. In a nutshell, it was a political scandal that rocked the UPA government in 2012. Between 2004 and 2009, the government of India was accused of awarding 194 coal blocks to public and private firms for captive usage in a faulty, ad hoc way, according to the Comptroller and Auditor General of India (CAG).

Satyam scam

This was one of the biggest corporate scams in the country. Satyam Computer Services was a computer outsourcing company whose founders and directors falsified data, inflated stock prices and stole huge amounts from the company. It was a case of corporate governance and fraudulent auditing practices allegedly in connivance with auditors and chartered accountants. The company misrepresented its accounts both to its board, stock exchanges, regulators, investors and all other stakeholders. It was a fraud, which misled the market and other stakeholders by lying about the company’s financial health. Even basic facts such as revenues, operating profits, interest liabilities and cash balances were grossly inflated to show the company in good health. Later in 2009, the company founder Ramalingam Raju confessed to the crime. In 2015, the accused were sentenced to seven-year imprisonment. Further huge amounts of fines were also imposed.

The BOFORS scandal

During the 1980s and 1990s, there was a huge weapons-contracting controversy between India and Sweden. In 1986, India reportedly inked a deal with the Swedish armaments firm Bofors AB to deliver their 155mm field howitzer to the Indian Army for Rs 1437 crore (approx). Many politicians were suspected of taking bribes or “kickbacks” totalling over Rs. 64 crores for the agreement, including then-Prime Minister Rajiv Gandhi. The Bofors fraud is now believed to be worth roughly Rs. 400 crore.

PNB Bank, Nirav Modi, Mehul Choksi

A more recent case of bank fraud that made headlines and almost ruined the second-largest state-run bank was the Punjab National Bank (PNB) scam case. This scam included Indian diamantaire Nirav Modi, his uncle Mehul Choksi and two top PCB officials. The  PNB filed a case with the CBI in 2018 accusing Nirav Modi and his firms of getting Letters of Undertaking (LoUs) from PNB without paying the margin amount on loans. This meant that if those companies defaulted on the loan, PNB would be responsible for the repayment. The fraud’s discovery not only exposed PNB’s management flaws but also shattered faith in India’s state-run banking system, which controls more than two-thirds of the country’s bank assets.

References


Students of Lawsikho courses regularly produce writing assignments and work on practical exercises as a part of their coursework and develop themselves in real-life practical skills.

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All about decentralized finance and how does it impact the present financial regulations in the United States

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This article is written by Ameya Phadtare pursuing a Diploma in Technology Law, Fintech Regulations and Technology Contracts. This article has been edited by Zigishu (Associate, Lawsikho).

This article has been published by Sneha Mahawar.

Introduction

Your money is kept by banks; businesses whose primary objective is to earn money through centralized finance. Third parties who enable money flow between parties abound in the financial system, each demanding a charge for their services. Let’s assume you used your credit card to buy a gallon of milk. The charge is sent from the merchant to an acquiring bank, which then sends the card information to the credit card network.

The network cancels the charge and asks your bank for payment. Your bank approves the charge and transmits it to the network, which then delivers it back to the merchant via the acquiring bank. Each link in the chain is compensated for its services, mostly because merchants must pay for your ability to utilize their services.

All other financial activities are costly; loan applications might take days to process; and you may not be able to use a bank’s services while abroad.

Meaning of Decentralized Finance

Decentralized finance, or DeFi, refers to a financial system that functions without the need of traditional, centralized middlemen. We’re accustomed to everything passing via a bank or other financial organizations such as a worldwide exchange, but DeFi establishes a self-contained system. Online transactions using DeFi coin are perhaps the most well-known use of decentralized finance, but they  also allow us to manage a variety of financial applications like investing, insurance, trading, borrowing, and lending in a more efficient and transparent manner. By allowing consumers, merchants, and corporations to perform financial transactions using developing technologies, decentralized finance removes intermediaries. Peer-to-peer financial networks that employ security protocols, connectivity, software, and hardware developments are used to achieve this.

You may lend, trade, and borrow using software that records and validates financial transactions in distributed financial databases from anywhere you have an internet connection. A distributed database is accessible from several places; it collects and aggregates data from all users and verifies it with the help of a consensus process.

Decentralized finance uses this technology to abolish centralized finance models by allowing anybody, regardless of who or where they are, to access financial services. Through personal wallets and trade services tailored to people, DeFi apps provide users more control over their money.

How does decentralized finance work

DeFi, rather than a bank, employs technology to facilitate transactions and services between parties. Along with public blockchains, a variety of open-source protocols are being created, establishing a foundation for decentralized finance to function on.

Blockchain technology, which is also used in cryptocurrencies, is used in decentralized finance. A distributed and secure database or ledger is referred to as a blockchain. Decentralized applications are the applications that conduct transactions and run the blockchain.

Transactions are stored in blocks on the blockchain and subsequently validated by other users. If all of the verifiers agree on a transaction, the block is closed and encrypted, and a new block is generated containing information from the preceding block.

The information in each subsequent block “chains” the blocks together, giving the blockchain its name. There is no method to edit a blockchain since information in prior blocks cannot be modified without impacting subsequent blocks. The safety aspect of a blockchain is provided by this notion, as well as other security mechanisms.

Here are some of the current ways that people are interacting with DeFi: –

Lending

Rather than earning interest and incentives once a month, lend out your crypto and earn interest and rewards every minute.

Obtaining a loan

Instantly obtain a loan without the need to complete out paperwork, even extremely short-term “flash loans” that traditional financial institutions cannot provide.

Trading

Make peer-to-peer crypto asset trades as if you were buying and selling stocks without using a brokerage.

Saving for the future

Invest part of your cryptocurrency in alternative savings accounts to earn higher interest rates than you’d obtain from a bank.

Purchasing derivatives

It entails placing long or short wagers on certain assets. Consider them the cryptocurrency equivalents of stock options or futures contracts.

Main Elements of DeFi

DeFi “building blocks” are used to construct a software stack, with each layer building on top of the previous. These layers come together to form DeFi and its related apps, which provide a range of services to consumers. If one layer is incorrect, the other layers will be incorrect as well.

The following are the five layers that makeup DeFi:

  1. The settlement layer, which is the blockchain’s basic layer and its own native asset. Ethereum, for example, is the blockchain’s network, and ether is the native currency on that blockchain. This layer offers security as well as a set of guidelines to adhere to.
  2. The asset layer refers to all tokens and digital assets that are native to the blockchain in question.
  3. The protocol layer establishes the smart contract’s protocols or guidelines.
  4. The application layer is responsible for bringing protocols to life through a consumer-facing user interface.
  5. The aggregation layer is made up of aggregators that connect the numerous dApps and protocols that make up the foundation for borrowing, lending, and other financial activities.

Advantages of DeFi 

  • You do not need to “open” an account or apply for anything. You only need to create a wallet to gain access.
  • You don’t have to give your name, email address, or any other personal information.
  • Flexible: You may relocate your assets anywhere at any moment without obtaining authorization, waiting for lengthy transfers to complete, or paying high costs.
  • Fast: Interest rates and prizes are often updated (as often as every 15 seconds), and they might be much higher than those on traditional Wall Street.
  • Transparent: The whole set of transactions is visible to everyone engaged (private corporations rarely grant that kind of transparency)

Comparison

ProsCons 
There is no intermediary between transactionsIf you forget your password, you can lose your assets since there is no governing body
May offer more accessibility for loans and insurance without a credit scoreLack of consumer protections
May offer higher interest ratesHigh volatility and risk

While some institutions may perceive DeFi as a danger, it may also be viewed as an opportunity, as centralized financial institutions can utilize their experience to help new users get access and onboard into the emerging decentralized financial system. 

For institutions, blockchain technology provides a huge technical improvement and cost-cutting tool, such as enabling expensive audits to be completed instantaneously and in real-time. The greatest systemic danger is a lack of regulatory clarity since new technologies are frequently viewed as a disruptive threat rather than an opportunity.

The more regulators can encourage the development of these technologies by enacting regulations that are based on common sense and intelligent frameworks, the more they can be used to democratize access to and use of finance while lowering costs and fraud, and advancing how we coordinate our economic and financial lives.

State of Regulation of DeFi in the U.S

With the publishing of a white paper in 2008, Bitcoin became the first cryptocurrency. In a white paper published in 2013, Ethereum presented smart contracts, distributed autonomous organizations, distributed apps, and a novel approach to crypto-currency. The Securities and Exchange Commission and the Commodities Futures Trading Corporation are the primary regulating bodies in the United States for this new sector of financial and organizational activity. DeFi regulation might be governed by a number of legislations, including the Bank Secrecy Act, the Anti-Money Laundering Act, the Commodities Exchange Act, and others.

Because current regulatory structures are generally based on a centralized, hierarchical approach that has worked well for decades, it  is not easily adaptable to the decentralized, digital, cryptographic approach that is rapidly evolving outside of government controls, it is unclear what the regulatory posture will be for this type of financing.

Security and Exchange Commission (SEC)

Gary Gensler, the incoming Chairman of the Securities and Exchange Commission, has remarked, “Currently, investor protection in crypto financing, issuance, trading, and lending is insufficient. To be honest, it feels like the Wild West right now, or the ancient world of “buyer beware” that existed before the securities rules were written. In certain uses, this asset type is riddled with fraud, frauds, and misuse. We have the ability to do better.”

“Digital assets may be referred to in the business by labels such as “virtual assets,” “crypto-assets,” “digital tokens,” “digital coins,” “digital currencies,” “cryptocurrencies,” and “convertible virtual currencies,” according to the Securities and Exchange Commission. Initial coin offerings, or ICOs, are a type of financial activity that involves digital assets.

The Securities and Exchange Commission (SEC) is responsible for regulating securities and securities-related activities to protect investors, ensure fair, orderly, and efficient markets, and enable capital creation. Because the SEC considers actions involving digital assets to be securities-related, people participating in such activities are subject to registration and other statutory or regulatory duties under the federal securities laws.

Commodities Futures Trading Commission (CFTC)

“The purpose of the CFTC is to promote the integrity, resilience, and vitality of the U.S. derivatives markets via sound regulation,” according to the CFTC. “Many in the crypto sector want the CFTC’s softer regulatory touch applied to crypto-currency and DeFi groups or techniques.” Under the Commodity Exchange Act, the CFTC regulates significant derivatives market players such as boards of trade, futures commission merchants, introducing brokers, swaps dealers, large swap participants, retail foreign exchange dealers, commodity pool operators, and commodity trading advisors.

Given the peer-to-peer nature of the core financial operations of loan and payment facilitation that drive most of the industry, classifying DeFi techniques as commodities trading may be a stretch. The innovative approach to decentralizing financial activity will very certainly need a rethinking of the old regulatory regime across the board.

Office of the Comptroller of the Currency (OCC) and the Bank Secrecy Act (BSA)

One of the most significant concerns associated with crypto assets in general, and DeFi methods in particular, is that transactions are both transparent on the blockchain and anonymous to participants. This raises the possibility of illicit activities, including money laundering, which the BSA is intended to prevent. As a result, the BSA, as well as anti-money laundering (AML) and “know your customer” (KYC) requirements, are being applied to the cryptocurrency industry. Some cryptocurrency users are hesitant or overtly opposed to disclosing their names and complying with these rules. Without some mechanism to identify participants for law enforcement agencies to prevent crime and terrorism, the promise of DeFi and encryption technologies is unlikely to be fully realised. That protective regulation is important for all players but is anathema to many crypto proselytizers.

The fundamental qualities of programmes that will be approved have already been recognized by the regulatory bodies. “At a minimum, an AML Program must include (a) policies, procedures, and internal controls that are reasonably designed to achieve compliance with the BSA and its implementing regulations; (b) independent testing for compliance; (c) the designation of an individual or individuals responsible for implementing and monitoring the operations and internal controls; and (d) ongoing training for appropriate persons. Additional parts of an AML Program, such as suitable risk-based procedures for undertaking continuing client due diligence, are referred to in several financial institution rules.”

“The label or terminology used to describe a digital asset or a person engaging in or providing financial activities or services involving a digital asset, however, may not always align with how that asset, activity, or service is defined under the BSA, or under the laws of a jurisdiction.”

The facts and circumstances underlying an asset, activity, or service, including its economic reality and use (whether intended, organically developed, or repurposed), determine the general categorization of an asset, the specific regulatory treatment of the activity involving the asset, and whether the persons involved are “financial institutions” As a result, both the advancement of technology and the implementation of the present centralized paradigm rely on changing how assets are owned, kept, transferred, tracked, and used.

This process has been gradual over the previous decade, but the technology will not be held back indefinitely, and the authorities will not fail to establish a legislative strategy that will allow DeFi to unleash its full potential in the long run.

Conclusion

The quickly changing environment in the crypto and DeFi sectors is impeding legislative attempts to define the legal status of this type of financial instrument, as well as its active trading and use. The SEC sees itself as the guardian of a growing class of investors, therefore it is working hard to adapt current rules to this new situation. As the industry adjusts to the regulatory pressure, new ways to crypto tokenization, new organizations, and alternative methodologies are emerging to keep the sector decentralized while ensuring that individuals who gain from innovation may continue to improve the tools responsibly.

DeFi can help to democratize access to credit, give easily accessible proof of asset ownership, and allow the vast majority of people to freely engage in the financial system. When a mere majority of the other 88 percent of individuals who possess the remaining 15% of the world’s wealth has no access to banking or other financial services, the relevance of enfranchising large segments of the global population through access to financial services becomes evident. It is critical for regulators to safeguard investors and consumers, but it is also critical to enfranchise small businesses, the poor, and anybody who cannot meet the standards of the current centralized system. The true difficulty in achieving the potential of DeFi and the crypto industry will be striking a balance between these opposing goals.

References


Students of Lawsikho courses regularly produce writing assignments and work on practical exercises as a part of their coursework and develop themselves in real-life practical skills.

LawSikho has created a telegram group for exchanging legal knowledge, referrals, and various opportunities. You can click on this link and join:

https://t.me/lawyerscommunity

Follow us on Instagram and subscribe to our YouTube channel for more amazing legal content.

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